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Full text of "An evaluation report for the Services to the Arts category of the Inter- Arts Program"

EVALUATION 

TECHNOLOGIES 

INCORPORATED 







AN EVALUATION REPORT 

FOR THE 

SERVICES TO THE ARTS CATEGORY 

OF THE 

INTER-ARTS PROGRAM 



Submitted to: 

Inter-Arts Program 
National Endowment for the Arts 



Submitted by: 

Evaluation Technologies Incorporated 

2020 North 14th Street, Sixth Floor 

Arlington, Virginia 22201 

(703) 525-5818 



May 30, 1986 



EXECUTIVE SUMMARY 



I. INTRODUCTION 

This report is the result of a test of the evaluation design developed by 
Evaluation Technologies Incorporated (ETII for the Inter-Arts Program under a 
previous contract with the National Endowment for the Arts (The Inter-Arts 
Program Services to the Arts Category: A Goal-Based Evaluation Design; July 
27, 1984). 

The purpose of this evaluation report is fourfold: (1) to document the test 
of the evaluation design; (2) to document the data base that was developed 
during the data collection phase of the evaluation process; (3) to present 
descriptive and analytical findings ; and (4) to provide recommendations to the 
Inter-Arts Program regarding refinements of the evaluation design and of 

grantee reporting requirements. 

» 

Presented in brief below is an overview of the methodology used, the data 
analyzed, and the overall conclusions resulting from an evaluation conducted 
for the Services to the Arts Category of the Inter-Arts Program. 

II. METHODOLOGY 

The evaluation design was the result of a collective and cooperative effort by 
ETI and Inter-Arts staff. It derives much of its structure from the existing 
grant reporting requirements and information provided by Endowment personnel. 
The implementation of the evaluation design was divided into three distinct 
phases: data collection and preparation, data analysis, and summary of 
results. 

The data used for this report represent a synthesis of the data contained in 
the Services to the Arts Category grant files, covering the last four fiscal 
years. Particular variables concerning management issues, budgets and the 
overall effect of Endowment funding, among others, were examined first by a 
document review, and subsequently through telephone interviews with the 



grantees themselves. All of this information was initially collected on a 
written record and then transformed into computer files, both for future use 
by the Program, and more immediate use as the data base for the statistical 
analyses. 

Data analysis consisted predominantly of basic descriptive statistics (such as 
frequencies, percentages, and frequency distributions) and was augmented by 
qualitative information drawn from both the grant files and the telephone 
interviews. 

The last phase of the evaluation consisted of combining the input from these 
varied data sources with the statistical analyses into a format useful to the 
Endowment as a whole, and the Inter-Arts Program in particular, on a number of 
different levels. First, this study demonstrates the appropriateness of eval- 
uation for the Programs at the Endowment, and secondly establishes a data base 
to which information from subsequent years can be added, and on which further 

studies/reports could be based. 

< 

III. SUMMARY OF FINDINGS 

The grantees for the Services to the Arts Category are extremely diverse. 
While they all provide some type of service to artists or art groups, there is 
extensive variation among all of the different types and scopes of service. 
For purposes of evaluation, grantees were grouped by the primary service 
objective for which they were awarded funding by the Inter-Arts Program: 

(1) Management Assistance 

(2) Business Development 

(3) Volunteer Development 

(4) Financial Support 

(5) Information Dissemination. 

The principal findings in each of these groups are presented below. 



1. Management Assistance 

This group comprises three principal activities: Technical Assistance, Work- 
shop Assistance, and Scholarship Assistance. Technical Assistance grantees 
usually have larger project budgets than the other two, reflecting the broader 
scope of their services. Scholarship Assistance is provided by somewhat older 
organizations, usually to encourage attendance at workshops they also hold. 
Many of the projects show a strong correspondence between cuts in Endowment 
funding and reductions in their project budgets. 

2. Business Development 

These grantees tend to have the largest project budgets of all the other gran- 
tees in this Category; they are also adept at increasing their project funding 
despite reductions in Endowment grant monies. 

3. Volunteer Development 

This type of service is a function of larger project budgets which have fairly 
stable funding over time. The majority of these grantees recruit technical 
specialists from private industry and then place them among client arts 
groups, usually after giving the volunteers training in relating their skills 
to an arts population and environment. 

4. Financial Support 

These grantees are either part of very large organizations or else very small 
ones. Their principal fund-raising efforts are focused on public and private 
contributions, rather than earned incomes (for themselves and other benefic- 
iary organizations) . 

5. Information Dissemination 

Most of these projects are operations of smaller organizations. These distri- 
bute information through a combination of mailing and meeting strategies. 



Digitized by the Internet Archive 

in 2012 with funding from 

Boston Library Consortium Member Libraries 



http://archive.org/details/evaluationreportOOnati 



6. General Characteristics 

In general, all of these objectives are addressed by projects with budgets 
representing less than half of the grantee organization's budget. There is a 
definite tendency for projects to be allocated diminishing amounts--by both 
the grantee organization and the Endowment--over the course of time. This is 
probably related to the relatively high start-up costs for any new project. 

Of particular interest is the differentiation in the levels of funding for 
repeat and one-time grantees. Repeat grantees are consistently funded at 
higher levels for first year studied than grantees funded only once over the 
four-year period studied. Parallel to this is the pattern for the Endowment 
funding to represent a higher percentage of the project budget for these 
one-time grantees than for repeat ones. 

IV. UTILITY AND RECOMMENDATIONS 

The information collected is a condensation of all of the information provided 
to this Category over the last four fiscal years by its grantees. Because 
this was collected and analyzed by people outside of the Endowment, a more un- 
biased appraisal of the operation of these projects was possible. 

Category specialists can now use this collection as the basic data base, which 
can be updated during each future grant cycle. This provides a means to 
quickly extract relevant information (such as for a Panel review or to brief 
the person conducting a site visit), to conduct additional research on partic- 
ular topics, and to greatly extend the availability and accessibility of the 
grant information. This type of access can serve to improve the Endowment's 
institutional memory. 

Many of the recommendations based on this evaluation pertain to the diverse 
data collection methods and instruments currently employed by the Program. 
Most of these need to be revised to sharpen their focus on particular points 
of reference, and to increase the pre- and post-grant comparability of infor- 
mation. Timing of the reports could be changed to compensate for the differ- 



ent fiscal years used by the Endowment and most of the grantees. Specific 
requirements for the Final Descriptive Report might be established so that 
this report could serve as a guide to actual project accomplishment. In 
essence, the comparability of the pre- and post-grant data could be greatly 
enhanced through judicious additions and deletions to the instruments already 
in use throughout the project cycle. 

This evaluation provides the Endowment with the capacity to use this infor- 
mation and the attendant analyses to conduct their own reviews, to monitor 
project implementation and to provide additional information for Panel reviews 
and other queries. 

The complete evaluation report contains detailed information on the processes 
and results of the research effort, including case studies, detailed presenta- 
tions of findings and recommendations, as well as the complete data base of 
grantee records. These records are also available on floppy disks for Program 
use. 



TABLE OF CONTENTS 

PAGE 



I. INTRODUCTION 



A. Evaluation Design 1-1 

B. Data Sources 1-7 

C. Data Coll ection Procedures 1-10 

D. Data Analysis Procedures 1-12 

E. Evaluation Report Format 1-13 



II. DESCRIPTION OF THE GRANTEES 

A. Introduction II-l 

B. Grantee Characteristics II-2 

C. Summary 11-10 



III. ANALYSIS OF THE TECHNICAL ASSISTANCE OBJECTIVE 

A. Introduction III-l 

B. Grantee Characteristics 1 1 1-3 

C. Summary ...' 111-14 



IV. ANALYSIS OF THE BUSINESS DEVELOPMENT OBJECTIVE 

A. Introduction IV-1 

B. Grantee Characteristics IV-1 

C. Summary IV-7 



V. ANALYSIS OF THE VOLUNTEER DEVELOPMENT OBJECTIVE 

A. Introduction V-l 

B. Grantee Characteristics V-2 

C. Summary V-9 



VI. ANALYSIS OF THE FINANCIAL DEVELOPMENT OBJECTIVE 

A. Introduction VI- 1 

B. Grantee Characteristics VI-1 

C. Summary VI-6 



VII. ANALYSIS OF THE INFORMATION DISSEMINATION OBJECTIVE 

A. Introduction VII-1 

B. Grantee Characteristics VII-1 

C. Sunmary VI I- 11 

i 



TABLE OF CONTENTS 



PAGE 



VIII. CONCLUSIONS AND RECOMMENDATIONS 



A. 
B. 
C. 
D. 
E. 
F. 



Appendix A 
Appendix B 
Appendix C 



Overview V1II-1 

Observations from the Population VIII-1 

Population Characteristics and Distributions VIII-3 

Information Utility VII 1-5 

Recommendations VIII-6 

Evaluation Process VI 1 1-9 

Glossary of Terms and Abbreviations 

Geographic Location of Grantee Organizations 

Data Bases for the Services to the Arts Category 



n 



LIST OF EXHIBITS 



PAGE 



Exhib" 


it 1. 


Exhib 


it 2. 


Exhib i 


it 3. 


Exhib 


it 4. 


Exhibi 


it 5. 


Exhib 


it 6. 


Exhibi 


t 7. 


Exhib" 


it 8. 


Exhibi 


t 9. 


Exhib" 


it 10. 


Exhibi 


t 11. 


Exhib" 


it 12. 


Exhibi 


t 13. 


Exhibi 


t 14. 


Exhib" 


it 15. 


Exhibi 


t 16. 


Exhib" 


it 17. 


Exhibi 


t 18. 


Exhib" 


it 19. 


Exhibi 


t 20. 


Exhib" 


it 21. 


Exhibi 


t 22. 


Exhib 


it 23. 


Exhibi 


it 24. 


Exhib 


it 25. 


Exhib' 


it 26. 


Exhib 


it 27. 


Exhib" 


it 28. 


Exhib 


it 29. 


Exhib- 


it 30. 


Exhib 


it 31. 



Goals Statement Matrix (Abridged) 1-4 

Distribution of Grantees by Objective 1-6 

Information Requirements 1-6 

Grantee Location by Target Area I 1-4 

Years in Service by Years in Existence 1 1-5 

Organizational Budget by Years in Service II- 6 

Percentage Project Budget by Years in Service 1 1 - 7 

Organizational Budget by Percentage Project Budget I 1-8 

Project Budget by NEA Funded Percentage 1 1-9 

Grantee Distribution by Project Type and Years Funded ... III-2 

Personnel Data III-3 

Organizational Budget Distribution (Pre-Grant) II 1-4 

Percentage of Organizational Budget Represented by the 

Project and the Range of that Percentage 1 1 1 - 5 

Distribution of Project Budgets II 1-6 

Average Years in Service and Range II 1-6 

Project Budgets by Years in Service III-7 

Grantee Location II 1-8 

Frequency Distribution of Types of Products 1 1 1-9 

Subject Areas II I- 11 

Average First-Year Grants 1 1 1-13 

Distribution of Project Budgets IV-2 

Project Budget by Age of Organization IV-3 

Types of Products IV-4 

Service Directed Toward People and Organizations IV- 5 

Endowment Funding IV-6 

Organizational Budget ... •. V-2 

Grantee Location by Target Area V-4 

Types of Volunteers by Sources of Volunteers V-5 

Sources of Volunteers by Recruitment Strategy V-5 

Types of Volunteers by Recruitment Strategy V-5 

Actions to Institutional ize Vol unteers V-6 



in 



Exhibi 


t 32. 


Exhib" 


it 33. 


Exhibi 


t 34. 


Exhib" 


it 35. 


Exhibi 


t 36. 


Exhib" 


it 37. 


Exhibi 


t 38. 


Exhib" 


it 39. 


Exhibi 


t 40. 


Exhib" 


it 41. 


Exhibi 


t 42. 


Exhib" 


it 43. 


Exhibi 


t 44. 


Exhib" 


it 45. 


Exhibi 


t 46. 



LIST OF EXHIBITS (Concluded) 

P AGE 

NEA Percentages and Dollar Contributions V-6 

Project Types VI - 2 

Organizational Budget VI-3 

Target Area by Grantee Location VI-4 

NEA Funding VI-6 

Grantee Distribution and Years of Funding VII-2 

Organizational Budget Distribution VI 1-3 

Distribution of Project Budgets VII-4 

Years in Service by Project Budget for Clearinghouses ... VI 1-5 

Grantee Location by Target Area VI 1-6 

Target Populations VI 1-7 

Nature of Information VII-8 

Dissemination Strategies*..... VI 1-9 

Percentage of Total Project Budget Funded by NEA VI I- 10 

Funding Patterns VII-11 



IV 



I. INTRODUCTION 



A. EVALUATION DESIGN 

This report is tiie result of a test of the evaluation design developea by 
Evaluation Technologies Incorporated (ETI) for the Inter-Arts Program under a 
previous contract with the National Endowment for tiie Arts (The Inter-Arts 
Program Services to the Arts Category: A Goal -Based Evaluation Design; 
July 27, 1984). 

The purpose of this evaluation report is fourfold: (1) to document the test 
of the evaluation design; (2) to document the data base that was developed 
during the data collection phase of the evaluation process; (3) to present 
descriptive and analytical findings; and (4) to provide recommendations to the 
Inter-Arts Program regarding refinements of the evaluation design and of 
grantee reporting requirements. ♦ 

This evaluation study was designed to address tine specific evaluation questions 
identified by the Inter-Arts Program, that is: 

To what extent are the projects/activities which have been funded under 
the Services to the Arts Category meeting Category goals? 

1 . Program Purpose 

The Inter-Arts Program seeks to nurture and sustain the work of artists and 
arts organizations whose activities cross, mix, or involve two or more arts 
disciplines. The Inter-Arts Program thus supports a wide range of undertakings 
including those which: 

o Create interdisciplinary work that will advance excellence or 
potential excellence on a national or regional level; 

o Implement projects or support the operations of institutions whicn 
maintain the highest artistic level, have regional or national 
significance and cross traditional discipline lines; 

1-1 



o Present inter- or cross-disciplinary art to tne public; 

o Aavance the field of inter-disciplinary art; and 

o Provide services and resources necessary for artistic growth and 
devel opment. 

The Inter-Arts Program staff expressed a need to focus on the last of these 
types of support -- the Services to the Arts Category. 

2. Category Purpose 

Services to the Arts is an umbrella heading under which 'service' can De 
variously defined, but is basically one which supports those organizations 
serving mul ti disci pi inary professional artists and arts organizations. More 
specifically, Category goals are designed to assist service organizations 
which: , • 

o Develop management skills for adninistrators ana directors of arts 
organizations; 

o Provide business practices/services which cut costs or increase 
the quality of programs for arts groups; 

o Develop new sources of volunteer support for the arts; 

o Develop financial support for the arts; and/or 

o Disseminate information about the arts to artists/arts administra- 
tors/other arts constituencies. 

Thus, Services to the Arts would not refer to the presentation of inter- or 
cross-disciplinary art, but rather the provision of management or business 
assistance to a group which did present such art. In particular, this type of 
assistance encompasses activities which have regional or national signifi- 
cance, and which are effective in providing artists and arts organizations 
with the resources necessary for their institutional development. 

1-2 



3. Design Process 

The development of the evaluation plan was preceded by: (1) discussions witn 
Inter-Arts Program staff, (2) review of the literature, and (3) the interim 
development of a goals matrix. The five Category goals were used as the guide 
in the development of the matrix and of the overall evaluation design. Each 
goal was treated as a separate objective, and it was assumed that this would 
permit the analysis of grantees by objective and also by specific evaluation 
questions. The matrix (Exhibit 1) sets forth the specific Services to the 
Arts Category goals in the context of the more general National Endowment for 
the Arts and Inter-Arts Program goals. It also displays the type of 
information (such as performance indicators) necessary to an understanding of 
whether each goal is met, separating each of these indicators into constituent 
data elements to be used in measuring objective achievement. This matrix was 
then presented to the Inter-Arts Program staff for their review and comment, 
was revised in light of their suggestions, and serves as the framework upon 
which the plan was constructed. 

4. Scope of Design 

As the evaluation study is designed simply to address the extent to which the 
various activities funded are meeting Category goals, it does not address 
itself to particular policy questions. In this way, relative issues of 
prioritizing grant awards or determining the effect of Endowment funding are 
not addressed. Rather, the evaluation is intended to examine projects funded 
to date under each Category goal and to provide the framework for drawing 
general conclusions about the grantees. It was intended that the implementa- 
tion of this plan would result in two principal products: the detailed 
analysis of individual grantees' success in meeting Category goals and an 
analysis of the extent to which grantees as a group have been successful in 
meeting Category goals. 

The first assessment would allow judgnents to be made about particular 
grantees; the second analysis would allow generalizations to be made about tne 
relationship between various aspects of the grant process and the achievement 
of each Category goal , and this may assist the Endowment in making future 
program, policy, and funding decisions. 

1-3 



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The population studied consisted of 58 organizations funded by the Endowment 
over tne course of fiscal years 1980-1964. These grantees were awarded varying 
amounts for varying purposes over that period: the five primary reasons for 
funding are presented as this study's five objectives. These objectives are: 
technical assistance, Dusiness devel opment, volunteer support, financial 
support and information dissemination. In addition, many of these organiza- 
tions were funded more than one time, so tnat, for the 58 grantees, there were 
137 grants examined in all, unevenly distributed over the five objectives. 
This is presented in Exhibit 2. 

In the course of implementing this design it became apparent that certain 
performance indicators would be difficult to obtain. To offset tnis lac< of 
information, certain proxy measures and alternative strategies were developed. 
These were based on discussions with the Inter-Arts Program staff after the 
first perusal of the grant files and determination of the relative priority 
and usefulness of the original evaluation questions. Of additional concern 
was the relative scarcity of comparable post-grant information. The proxy 
measure agreed upon in this case was,' for repeat grantees only, the use of 
pre-grant information for the following grant year as post-grant information 
for the one preceding. In essence, this created an interlocking system whereby 
materials used in support of the FY 82 application could be treated as evidence 
of the accomplishments of the FY 81 grant. 

5. Assumptions 

Particular assumptions were made at the onset of tne design process, pertain- 
ing both to the design itself and the information collection procedures neeoed 
to implement the evaluation design. It was assumed that the grantees were 
treated as responsive to the relevant Category goal, rather than strictly as 
providers of certain services. 

In addition, it was assumed tnat the information collection procedures woul a 
be lengthy but fairly straightforward, and would draw heavily from existing 
written sources. It was anticipated that all 58 of the grantee organizations, 
most of whom had received more than one grant, would have complete files at 
Inter-Arts. Information collection would be primarily document review and 

1-5 



OBJECTIVE A 



OBJECTIVE B 



OBJECTIVE C 



OBJECTIVE D 



OBJECTIVE E 



Assn. of College, 
University and 
Community Arts 
Administrators 

Assn. for Resources 
& Technical Svcs. 

California Confedera- 
tion of the Arts 

Chicano Humanities 
6 Arts Council 

Chinese American Arts 
Council 

Coronunity Art Resources 



Bay Area Lawyers 
for the Arts 



Cul tural Council 
Foundation 

Film in the Cities 
(82 - 83) 

Performing Art Ser- 
vices ( 81 - 82) 



Arts 4 Business Council Artists Foundation 



Cornish Institute 



Penjerdel Foundation/ 
BVA Philadelphia 

Volunteer Lawyers for 
the Arts 

Volunteer Urban Con- 
sul ting Group 



Arts for Everyone 



NYC Dept. of Cultural 
Affairs 

Cultural Education 
Collaborative 

Film in the Cities (84) 



42nd St Theatre Row 



American Council for trie 
Arts 



Arts International 



ATLATL 



Artspace Projects 



Center for Arts Informa- 
tion 

Center for Occupational 
Hazards 



Cultural All iance of 
Greater Washington 

Golden Gate University 



Museums Collaborative 



New York Foundation for 
the Arts 



Foundation for the Com- 
munity of Artists 

Hospital Auoiences 



Graduate School for 
Conrnunity Development 

Greater Philadelphia 
Cultural Alliance 

Hal eakal a/The Kitchen 



Playwrights Horizon 



Twin Cities Metro. Arts 
All iance 



Institute of Alaska 
Native Arts 

Japanese American Cult. 
A Conrnunity Center 

Metropolitan/Regional 
Arts Council 



Mass. Cultural Alliance 
New Performance Gallery 



Opportunity Resources 
for the Arts 

Performing Art Services 
(84) 



Natl . Assn. of Artists 

Organizations 
Natl. Council on the 

Aging 

Natl. Guild of Community 
School s of the Arts 

New York Public Library 



St. Paul - Ramsey United 
Arts Fund 

Sangamon State University 

Southern Arts Fdn. . 

Western States Art Fdn. 

Publ ishing Center for 
Cultural Resources 



I 



Exhibit 2: Distribution of Grantees by Objectives 



s 



s 



1-6 



only supplemented on an 'as needed' basis by the Category Specialist or througn 
telephone interviews. It was assumed that these interviews would be conducted 
by that Specialist, as the grantees would be more likely to respond to requests 
for further information from the person who reviewed their applications (most 
especially, as an incentive, those pending) than from an outsider. 

It was also assumed that grantees within Category objectives would be compar- 
able, for example, that grants awarded for information oissemination would be 
relatively similar in scope and activities. 

Finally, it was assumed that pre- and post-grant information would be avail- 
able and of equal quality, so that an analysis between planned and actual 
performance could be made. 

B. DATA SOURCES 

The information contained in the grant files served as the primary source for 
this evaluation report. The Inter-Arts Program requires certain documentation 
from the grantees but also maintains in the same file any and all supplementary 
information provided by the grantee. 

1 . Chronology and Development 

The files are maintained according to the fiscal year of the grant, which 
overlaps the chronological year. Thus, grantees may have funds awarded from 
June 1982 through July 1983: Inter-Arts considers these fiscal year (FY) 1982 
grants. The period examined encompassed grants from fiscal year 1981 through 
1984. Some grantees were awarded grants for all four of those fiscal years. 
The information required from the applicants has changed over the course of 
this perioa, focusing more precisely on budgetary information as well as 
project description and methodology. This nas resulted in the creation of a 
new required form, the Supplementary Information Sheet, which was first 
implemented in 1983. This, coupled with minor revisions to the application 
form, determined that the information required from tne grantees changed over 
the course of time. The evaluation questions did not respond to these altera- 
tions, as the questions were primarily directed to the presence or absence of 



1-7 



information. The presence of more detailed information simply meant that more 
of those questions could be answerea: it was assumed, but not empirically 
tested, that later grantees would have more complete information. 

2. Documentation 

Briefly, the types of information required from the grantees are drawn from 
four primary forms, split evenly between pre-grant and post-grant. These are 
presented in Exhibit 3. 

PRE-GRANT POST-GRANT 

Application Financial Status Report 

Supplementary Information Final Descriptive Report 

Sheet 

Exhibit 3: Information Requirements 

a. Pre-Grant Information . The application is the most structured and 
detailed of these four documents. It serves to identify the particular 
activity for which funding is requested, what population will be served by 
that activity, as well as information on the personnel and buaget for both the 
project and of the organization as a whole. Various assurances (i.e., 
non-profit status from the IRS) are also required, as well as a list of extra 
information (which is not contained on the application form). This includes: 

o Project description (one page summary) 

o Current membership listing 

o Schedules of activities for the coming year 

o Staff biographies 

o List of grants received from NEA 

o Any final reports outstanding to Inter-Arts. 

There is a fairly strict timetable attached for this process. For example, the 
1966 grants required the notification of intent to apply by September 9, 1985. 



1-8 



The application package had to be postmarked by November 8, 1965. The 
announcement of awards was made in June, 1986, for a grant period beginning 
(at the very earl iest) by July 1 , 1986. 

The other piece of information required by organizations applying to tne 
Services to the Arts Category is the Supplementary Information Sheet (SIS). 
This provides for more detail on such issues as revenues and expenses and 
provides for elaboration on service and evaluation methods, subject areas to 
be addressed, el igibil ity/sel ection criteria and determination of need. This 
form was developed largely for this Category's diverse applicants, as it 
provided a forum for them to be as explicit as possible with reference to 
their needs and aims, and thus provided the Panel members with more information 
from which to make decisions and assess priorities. The SIS is often used 
simply as a more rhetorical restatement of information previously presented in 
the application: its utility is yery much a function of the overall level of 
planning of the applicant. 

b. Post-Grant Information . The two documents required from the grantee 
at the end of the funding period are the Final Descriptive Report (FDR) and 
the Financial Status Report (FSR). 

The FDR is an Endowment- wide requirement of all grantees. There are no 
particular standards, however, for that document. Some grantee organizations 
are relatively thorough, while others address merely the facts that the grant 
was made, how it was spent and what types of literature were generated or 
activities performed as a result. In this way, there is almost no comparabil- 
ity between the information contained in the application and SIS and that 
contained in the FDRs. The particular incentive for its submission is that no 
new grant to that organization can be awarded if that document is not filed. 
Of course, if a grantee organization is no longer applying to the Endowment 
for funds, that incentive disappears altogether. 

The FSR is a standaraized form, consisting of a single page record of income 
and expenses. The grantee organization has previously filed extremely similar 
forms to prompt disbursement of their grant monies: the FSR lists the sum 
totals. This document has the same incentive for submission as tne FDR, and 



1-9 



can only be used in a limited sense in terms of comparability with the 
application and SIS, as it does not list inaividual expenses, but merely the 
total amount paid out by the Endowment and the total project cost to date. 

Information in addition to the requirements may be provided by the grantee. 
This may include samples of the various products made possible by grants from 
the NEA as eviaence of successful project completion or of potentially 
successful project accomplishment (with the following year's application). 
Products range from brochures and books through t-shirts and coupons. 
Grantees may also include in their application or FDR any audits or annual 
reports. 

C DATA COLLECTION PROCEDURES 

1 . Data Recording Sheets 

The goals statement matrix provided a basic spreadsheet outline, which was 
then developed and refined to become the data recording sheet. A data 
recording sheet was developed for each of the five objectives in order to 
provide a standard way to collect information from the grantee files and a 
relatively unchanging format for the data entry procedures. Each sheet lists 
the information to be collected on the left-hand side of tne page, while 
pre-grant, post-grant and calculation form the column headings. Thus informa- 
tion extracted from the application was entered in the first column, and infor- 
mation from the FDR in the second. All the information collected was on one 
consistent form, which permitted data to be amassed by more than one person. 

2. Data Avail abil ity 

The 58 grantees created a total of 137 grant files. Each file was thoroughly 
reviewed and, in the case of missing information, reviewed again before 
contacting the Category Specialist. ftice that stage was reached, a meeting 
was held to determine tne relative likelihood of finding such information in 
grantee records and its relative importance to the study. The decision was 
made to go ahead and ask the grantees, but to expect that most of the questions 
would remain unanswered. 



I- 10 



3. Pre- and Post-Data Comparability 

The great differences between the types of information required from tne 
application and SIS and those required by tne FSR and FDR made comparisons of 
this nature extremely difficult, even where possible. In part, this is due to 
the types of questions the Endowment asks as part of tneir grant process ano 
those that were askea as part of the evaluation process: the latter were 
often concerns particular to the evaluation study. Despite the study being 
drawn from the types of information that the Endowment requested, the way the 
questions were phrased, based on tne premise of comparability, created 
significant gaps in the data. 

4. Telephone Foil ow-Up 

The majority of grantees were contacted by the Category Specialist, informed 
of what types of information were required and then told to relay that 
additional data to ETI. Grantees who had not contacted ETI by a deadline were 
then approached by the contractor. In most cases, the additional data required 
significant searches through years-old documentation on tne part of the 
grantees. An additional problem arose from fiscal definitions: the Endow- 
ment's grant year goes from July to June. Most of the grantees use one that 
goes from October to September. Some may also keep records Dased on the 
calendar (January - December) year. The information requested thus involvea 
recalculations of annual and audit reports and further delays, as well as 
questions as to the validity of the figures then presented. 

Of the 58 grantees, most were reached by phone by either the Category Special- 
ist or ETI staff. Thirteen provided addi tional data. 

5. Methodology Caveats 

Throughout the application of the evaluation design, it became apparent that 
certain types of information were chronically missing. While this is more a 
function of the types of questions the evaluation sought to answer than the 
'fault' of the Endowment, it nevertheless makes an important point about the 
types of information required by the Endowment. 



1-11 



Comparability between pre- and post-grant data is minimal. Even where tele- 
phone conversations produced, for example, some aol 1 ar figures for budgetary 
information, the definitions differed so widely between the application and 
that subsequent retrieval as to make any comparison highly suspect. 

Many of the variables to be used to determine the evaluation purpose were not 
present, or were unreliable. Numbers of people served is a telling case in 
point: on the application, this number could refer to the entire population 
of the region being served, based on the premise that the general public would 
benefit from increased opportunities in the arts, not just artists and arts 
organizations. Numbers actually served might be included in the FDR, but not 
necessarily. 

Statistics thus proved somewhat less useful. Comparisons being difficult even 
vrfiere possible, most correlations were not attempted. Correlations consist of 
the analysis of patterns of the data, for example, are projects with more 
staff time funded at a higher level? 'This would be a direct, causa l , correla- 
tion: higher labor costs affect the project budget. Both variables increase. 
An inverse correlation would be where one variable increases as the other 
decreases. This type of statistic is performed based on cross-tabulations of 
two variables. Analyses scheduled to be performed stressed the changes between 
pre- and post-grant data, and also distinctions between planned and actual, 
such as numbers served. More complex statistics, such as chi-square, were not 
attempted due to the weakness of the data. Ins tea a, basic descriptive statis- 
tics and some frequencies (counts) were employed to augment the more qualita- 
tive review of the grantee files. 

D. DATA ANALYSIS PROCEDURES 

1 . Ethnography 

Most of the data collected served to proviae a qualitative overview of the 
types of projects fundea by the Services to the Arts Category. A qualitative 
review is primarily descriptive, and provides information about the popula- 
tion, drawing on shared characteristics, rather than a report based on more 
statistical analysis of relationships. Specific characteristics of the 



1-12 



grantees, such as the level funded by the Endowment, especially as demon- 
strated by repeat grantees, were also examined. The analysis goes from the 
most generic levels (what types of projects are funded) through specific 
objective levels (what are the commonalities in volunteer programs) and, in 
some instances, through sub-objective levels. This last examination encom- 
passes the objectives of technical assistance and information dissemination, 
both of which were found to contain sufficiently disparate activities to 
warrant their fission into smaller groups. 

2. Sel ected Statistics 

Statistics usee in this report consist of frequencies, percentages, and 
frequency distributions. Occasionally averages could be tabulated. Frequen- 
cies consist of the numbers of times a variable occurs, and frequency 
distributions refer to the number of times a series of variables occur. More 

advanced statistics were not employed due to weaknesses in the data. 

< 

E. THE EVALUATION REPORT FORMAT 

This report is divided into eight sections. The first serves to introduce the 
study, the second to present the most general characteristics of the grantee 
population. The third through seventh sections analyze the individual 
objectives in greater depth, and conclusions and recommendations are summed up 
in the final section. Definitions of terms and abbreviations used are 
presented in Appendix A. Particular definitions of the geographic locations 
are found in Appendix B. Appendix C contains the data bases used for all of 
the five objectives analyzed. 



1-13 



II. DESCRIPTION OF THE GRANTEES 



A. INTRODUCTION 

The intent of tnis chapter is to present the findings which resulted from the 
most generic consolidations of the Services to the Arts' grant information. 
While the five objectives each pursue their part of this Category's mandate 
fairly separately, there are certain similarities in the overall management of 
all of these objectives. These similarities typically concern the project 
management, but at the same time also reveal a certain pattern to the types of 
projects tne Endowment funds and tne way in which those funds are distributed. 
In the subsequent chapters each of the objectives is treated individually, 
focusing on the methods used and scope of activities undertaken. This is tne 
only section, tnerefore, where all of the different objectives and their 
respective grantees are examined as a group responsive to the Inter-Arts 
mandate. 

The Services to the Arts Category of the Inter-Arts Program is the umbrella 
under which support is provided to activities which serve professional artists 
and arts organizations working in more than one art form. This is a ^ery 
large umbrella, including activities as general as management training and as 
specific as locating candidates for jobs or providing access to darkroom faci- 
lities. The techniques employed within the diverse objectives overlap to a 
considerable extent. 

Many of these grantees conduct training: orienting volunteers to an artistic 
mind-set, sponsoring workshops and courses or offering lectures. These 
various methods may comprise the principal activity of the grantees, or the 
institutionalization of a particular process, or may represent simply one of 
the ways used to aisseminate information. 

Tne more general management characteristics described in this section provioe 
some informational backgrouna to the subsequent individual analyses. The 
following sections provide a more specific framework in which to interpret tne 
Endowment grant program. 



II- 1 



B. GRANTEE CHARACTERISTICS 

Because of the differences among and within these objectives, there are not 
many areas wnere comparison among the five objectives is useful. There dre , 
however, some general variables which can be used to create an overview of tne 
types of grantees funded by the Services to the Arts Category. These variables 
are: 

o Grantee location: the address of the grantee organization, grouped 
by New York City, Major Metropolitan, and Other. Tnese are defined 
in Appendi x B. 

o Target area: the geograpnic scope of the grantee's activities, 
grouped by local, statewide, mul ti -state/regional , national, and 
international areas. This refers to the location and/ or magnituoe 
of the population at which the grantee's efforts are directed. 

« 
o Years in service: the length of time the grantee organization nas 

been performing the particular activity (ies ) funded by the 

Endowment. 

o Years in existence: the length of time the grantee organization 
nas operated. 

o Project budget: actual pre-grant figure for the budget of the 
Endowment -fun oed activity. 

o Organizational budget: the actual pre-grant figure for the buaget 
of the entire grantee organization. 

o Percentage project budget (of tne organizational budget): this 
figure serves to identify the proportionate amount of the resources 
directea to the Endowment-funded project by the organization as a 
whole. 



11-2 



o Percentage (of tne project) funded by NEA: tnis figure refers to 
the proportionate amount of the activity which is actually 
subsidized by the Endowment contribution. 

All of these variables are also analyzed by individual objectives, out are 
usee in this section as an examination of some of the generic tendencies for 
these grantees. Rather than presenting frequencies and percentages of the 
individual variables, tables were formed to analyze tne possible connections 
and correspondences of these grantees. 

These tables include the following: 

o Grantee location by target area 

o Years in service by years in existence 

o Organizational budget by years in service 

o Percentage project budget by years in service 

o Organizational budget by percentage project budget 

o Project budget by NEA funded percentage. 

These tables were created to address specific questions, the answers for which 
would then cumulatively present an overview of the more general characteristics 
of the grantees found in this Category. 

The data used in the following analyses was collected from the last year 
funded, pre-grant information. The data from the last year funded were used 
as most representative of the institution's current abilities, and the pre- 
grant information due to its relatively consistent presence. 

1 . Geographic Locations 

Only one of the analyses in this section permitted multiple responses: this 
was for the grantee location by target area. All of the other tables repre- 
sent unique responses. Some grantees focused on more than one segment of tne 
arts population, reaching, for example, both a local and a national audience. 
The methods used may have differed, i.e., newsletters may have represented the 
national strategy, while access to computer facilities one of the resources 



1 1-3 



made available to individuals/organizations in the same general area as tne 
grantee. Grantee location by target area is presented in Exhibit 4. This 
table addresses the questions of the relative geography of the grantees and 
their target populations: is one location more prone to particular constitu- 
ents than anotner, and what patterns and variations can be ascertained. The 
geographic areas used are New York City, Major Metropolitan areas, and Other. 
These are defined in Appendix B. 



Grantee 


Target 


Area 










Location 


LOCAL 


STATE 


REGIONAL 


NAT'L. 


INT'L. 


TOTAL 


NYC 


4 


3 


2 


13 


3 


25 


MAJOR METRO. 


7 


3 


9 


8 


1 


28 


OTHER 


5 


1 


6 


2 


1 


15 


TOTAL 


16 


7 


17 


23 


5 


b& 



Exhibit 4: Grantee Location py Target Are a 

Most of the grantees fall into three groups in terms of their target area, 
leading with national, followed by regional and local. While the most common 
combination was for New York City based grantees with national scope, the most 
common geographic location for grantees was tne major metropolitan areas. Of 
particular note is the relative strength across all the different target 
areas: while New York City grantees are more likely to be national in scope 
than anything else, grantees from otner major metropolitan areas are equally 
likely to be focusing on local, regional, or national (or some combination 
thereof) populations. 

2. Years in Service and Years in Existence 

Tne age of the organization, as well as that of the project, were taken usually 
as proxies for the overall stability of the organization. This is presented 
in Exhibit 5, which presents both chronologies at five year intervals. The 
questions asked were: what are the most likely ages of the grantees and their 
activities; are there specific clusters of existence/service matches. 



11-4 



Years 


Years 


in Service 










in 


0-b 


6-10 


11-15 


16-2U 


21-25 


TOT 


Existence 














0-5 


7 














7 


6-10 


5 


9 











14 


11-15 


1 


6 


7 








13 


16-20 





1 





2 





3 


21-25 














1 


1 


26-30 





1 











1 


31-35 








1 








1 


36-40 




















41-45 




















46-50 


1 














1 


GT 50 





1 











1 


TOTAL 


14 


17 


8 


2 


1 


42 


Missing: 


Service 5; 


Existence 


2; Both 9; 


Total 16 







Exhibit 5: Years in Service by Years in Existence 

Neither the services proviaed nor the organizations themselves represent 
activities of long-standing. Seventy-four percent of the projects are ten 
years old or less, while eighty-one percent of the organizations are less than 
fifteen. If these two sets are broken out further, the cases lie quite widely 
scatterea on the graph. The only apparent tendency is for the ages of the 
projects and the organizations to equal, which may indicate that the project 
was one of the first activities undertaken by the organization. Most of tne 
grantees were part of entities and activities that were older than the period 
funded by the Endowment. 

3. Organizational budget by Years in Service 

One of tne assumptions made was that an older, more established organization 
would be more likely to have a proportionately higher budget, with tne 
hypothesis that an older (and thus larger organization) woula be able to 
implement a larger project. This assumption was not confirmed Dy the data. 



1 1-5 



The questions to De adoressed, therefore, revolved around that assumption: 
are older organizations also more costly? If not, is there a distinction 
between younger and older organizations, or is tnere no such pattern? Despite 
the nigh number of missing cases, this assumption is borne out to a certain 
extent. While older projects are more likely to have higner budgets, organiza- 
tions less than ten years old are just as likely to have budgets that are as 
nigh. Thus, while the range of budgets for organizations over ten years old 
is from $100,000 to nore than $750,000, the range of budgets for organizations 
ten years or younger is from less than $100,000 to more than 3750,000. Tne 
younger organizations have a slightly greater range, which is presentea in 
Exhibit 6. There is a bi -modal grouping for this table: organizations five 
years or less which have budgets of less than $100,000, and organizations six 
to ten years which have budgets between $100,000 to 3249,000, wi tn six cases a 
piece. 



Years 


Organizational 


Budget 














in 


LT3100K 


3100- 


249K 


3250- 


499K 


3500- 


749K 


GT3750K 


T0TA 


Service 






















0-5 


6 


2 






3 




2 




3 


16 


6-10 


1 


6 






3 




2 




4 


16 


11-15 





1 






4 




1 




2 


8 


16-20 












1 




1 







2 


21-25 






















1 


1 


TOTAL 


7 


9 






11 




6 




10 


43 


Missing: 


15 cases 





















Exhibit 6: Organizational Budget by Years in Service 

4. The Project Budget as Percentage of the Organizational Budget 

Another table drawn up by the variable of years in service was the percentage 
of the project's budget as part of the overall organizational budget. An 
assumption examined in this table was that the project percentage would 
decrease as the years in service advanced, that is, there would be less 
reliance on the Endowment over the years to support a particular project. The 



1 1-6 



questions to be answerea were whether or not such a relationsnip existea ana 
what particular patterns could De discerned. Unfortunately, the information 
was lacking in twenty-two cases out of a total of fifty-eight, which makes the 
responses found relatively tentative. 







Years 


in Service 








Percentage 




0-5 


6-10 


11-15 


16-20 


21-25 


TOTAL 


0-10 




5 


7 


4 








16 


11-20 




3 


1 











4 


21-30 







1 


1 


2 


1 


5 


31-40 




1 


1 











2 


41-50 




1 


1 











2 


51-60 










1 








1 


61-70 






















71-80 






















81-90 






















91-100 




2 


2 


' 








4 


GT 100 




1 





1 








2 


TOTAL 




13 


13 


7 


2 


1 


36 


Missing: 


22 


cases 












Exhibit 7 


: Percentage 


Project 


Budget by 


Years in 


Service 



It seems that there is probaDly an inverse relationship between the years of 
service and the percentage of the project budget. That is, as the years in 
service increase, the project decreases its percentage of the organizational 
budget. This could be due either to growth in the organizational budget or 
decline in the overall size of the project budget, and, judging by the analyses 
of individual objectives, it seems likely to be some combination of those two 
factors. Of particular interest is the tendency for newer projects to have a 
higher percentage of the project budget in the organizational one, ana also 
for some newer projects to be the sole activity for certain organizations. 



II-7 



5. Organizational Budget by the Percent of the Project budget 

The questions this table addresses are whether or not a pattern exists for the 
relationship Detween these two variables and what that relationship may be. 

Basically, the larger organizational budgets are more likely to have a smaller 
project percentage, and is borne out basea on two preceaing analyses; namely, 
that more established organizations tended to have slightly higher budgets, 
and also decreasing project percentages. 



Organizational Budget 

LT3100K 3100-24 9K 3250-499K 35Q0-749K GT37SOK TOTAL 

6 2 

1 1 

2 
* 1 

1 
1 



1 

10 6 



Percentage 


LT3100K 


3100- 


0-10 





2 


11-20 


1 





21-30 





2 


31-40 


3 


2 


41-50 


1 





51-60 








61-70 








71-80 








81-90 


1 





91-100 


1 


2 


GT 100 


1 


1 


TOTAL 


8 


9 


Missing: 


10 cases 



13 


23 


1 


4 


1 


5 





6 





2 





1 

















1 





4 





2 


15 


48 



Exhibit 8: Organizational Budget by Percentage Project Budget 

Organizations that are budgeted at lower levels seem to contain tnose for 
wnich the project funded is the sole activity, as indicated by the relatively 
higher percents for the project budgets. Most projects for which the organiza- 
tional percentage was fifty percent or more were found at the two lowest ranges 
for organizational budgets. Most of the organizations at the highest budgetary 



II-6 



range had project budgets of ten percent or less. Altogether, however, almost 
all of the grantees were funded at less than fifty percent, and almost half of 
all the grantees were funded at less than ten percent. 

6. NEA Fundea Percentage of the Project budget 

The final comparison is that of tne project budget Dy the percentage funded by 
the Endowment. Questions asked were based on the premise that the Endowment 
money would represent a larger percentage of the lower project budgets. 
Particular queries addressed issues of distribution of the amounts fundea, 
average budget size and patterns of funaing. Of particular note on tnis taDle 
is the presence of all fifty-eight grantees. 

Project Budget 
Percent LT350K 350-100K 3151-250K GT3250K TOTAL 



0-10 





* 

6 


3 


3 


12 


11-20 


6 


4 


3 





13 


21-30 


4 


4 








b 


31-40 


8 


3 


1 





12 


41-50 


12 


1 








13 


TOTAL 


30 


16 


7 


3 


58 



Exhibit 9: Project Budget by NEA Funded Percentage 

The projects which had a greater percentage of Endowment funding were those at 
the lower budget ranges. An interesting distribution pattern also emerged, 
where project modes were found at the 0-20% ranges and also for the 31-50% 
ranges. There were significantly fewer cases for that middle (21-30%) range, 
which produces an invertea normal curve in terms of the distribution patterns. 

Most of the projects funded had budgets in the lower ranges and there was on 
inverse relationship between the percentage of Endowment funding and the bud- 
getary ranges. 



1 1-9 



C. SUMMARY 

The projects funded by the Endowment tended to be from organizations older 
than the funding cycle studied (i.e., four years), usually in either New York 
City or other major metropolitan areas. The projects represented newer 
endeavors for these organizations, but rarely represented more than ten percent 
of that organization's buaget. In most cases the Endowment funding represented 
more of the project budget for lower budget projects. 

The following findings summarize the analyses performed: 

o Tne most frequent comoination of grantee location with target area 
was one based in New York City with a national scope of activities. 

o The most common geographic location for grantees, however, was 
Major Metropolitan, that ( is, outside of New York City. 'Major 
Metropolitan' is defined more precisely in Appendix b. This 
reinforces the Inter-Arts Program's mandate to advance excellence 
and implement cross-disciplinary projects or operations on a 
national or regional level. While many of the grantees are based 
in New York City, many have been established in other metropolitan 
areas throughout the country. These grantees are usually either 
regional or national in scope, a distinction made largely due to 
the presence/ absence of existing services at the national level 
and also to the intent and purpose of the responsive grantee 
organization. 

o Neither the services provided nor the organizations themselves 
represent activities of long-standing, as 74 percent are under ten 
years old. The organizations represented in the remaining 2d 
percent are based on existing professional organizations, often 
within an academic setting. 

o The organizational oudgets for the grantees do not differ depend- 
ing on the age of the organization. A younger organization has 
approximately the same range of budget dollars as does an older 



11-10 



one, although older organizations are slightly more likely to have 
higher budgets, based on the Differentiation in budgeting ranges. 

o Organizations with greater organizational budgets tend to have 
projects which account for proportionately less of their organiza- 
tional budgets. This is reinforced by the tendency for more 
established organizations to have slightly higher budgets, witn 
projects accounting for proportionately less. 

o Newer projects represent more of the organizational budget tnan 
more established ones. This is probably due to start-up costs and 
the initial concentration of resources. 

o Projects for which the Endowment-funded percentages were higher 
were those at the lower budgetary ranges for projects. A smaller 
project tended to have proportionately more Endowment funding than 
a larger project. t ■ 

o In general, newer projects are more cost-intensive than older ones 
in terms of the organization's resources. 

The more general management characteristics described in this section provide 
some informational background to the following chapters containing analyses of 
each objective. The following sections provide an introduction to those 
analyses. 

1 . Analytical Divisions 

The types of grantees funded, the activities for which they are funded and the 
types of methods employed vary widely. The subsequent division of two of the 
objectives studied was initiated due to the extensive differences in those 
methods, and because tnere were sufficient cases to make such a division 
defensible. Most of the other objectives coul a also have been separated into 
smaller groups as well, using the rule of differing methodologies, but none of 
those objectives contained sufficient grantees to make such a regrouping 



11-11 



feasible. For example, the technical assistance objective was aiviaea into 
Workshop Assistance, Scholarship Assistance and Technical Assistance, largely 
due to the differences encountered with the scope of service. It did not seem 
justifiable to compare an organization which provided Scholarship Assistance, 
which is a yery specific and restricted activity, with an organization whicn 
provided a much broader range of Technical Assistance. 

2. Stability of Grantee tetivities 

Each of the objectives is distinguished initially by the types of activities 
for wtu'ch the grantees are funded. Grantees may change the activities for 
which they are seeking Endowment support. Two particular cases are Performing 
Arts Services and Film in the Cities, both of which were funded for several 
years under the business development objective. In their last year fundea, 
Performing Arts Services switched to management skills, and Film in the Cities 
to financial support: the former to produce manuals on business development, 
and the latter to develop sources of financing for those organizations it had 
helped develop. Both are logical transitions in the life of the grantee 
organizations. They may also indicate a high degree of responsiveness to 
demand for particular services. 

The flexibility of the grantee organizations can be construed as either a 
strength or a weakness. Many of the grantees altered their methodologies and 
scope on a yearly basis, adding or deleting services in order to make their 
services strongest and most attractive to their constituents. The 
Massachusetts Cultural Alliance is a good example of this type of grantee, as 
it consistently expanded its interests in management skills and its own 
organizational development, with activities ranging from developing publica- 
tions to requesting in-kind contributions from local businesses for their 
constituents, as well as providing technical assistance in job searches, and 
access to facilities and meetings. Some of the grantees refined a strategy 
developed early on in the organization's life, methodically selecting or 
rejecting particular courses or activities. The Sangamon State University is 
probably the best example of this fine-tuning process. Over the course of the 
four years funded (that were studied in this report), the basic structure of 



11-12 



scholarship assistance to attend a two-week workshop did not alter. Tne 
courses changed Dased upon student evaluations, due to particular topical 
issues and the availability of particular specialists. 

This flexibility may also reflect the grantees' own organization instability. 
Tne Association for Resources and Technical Services (ARTS) is a prime example 
of this, as demonstrated by tne frequent turn-over in executive directors, tne 
activities that changea as frequently, and the eventual dissolution of the 
organization. 



11-13 



III. ANALYSIS OF Th£ TECHNICAL ASSISTANCE OBJECTIVE 



A. INTRODUCTION 

OBJECTIVE A : Determine the extent to wnich projects funded under this 
Category serve to develop management skills for administrators and Directors 
of arts organizations. 

1 . Analytical Divisions 

Once the 22 grantees under this objective nad been examined, i t was found 
that the major outputs of these grantees differed to the point wnere it 
seemed useful to split these into three subobjectives, as the scope and 
methodology of the three groups of grantees seemed to be organized around 
those di fferences. 

These outputs were: (1 ) Technical Assistance, (2) Workshop Assistance, and (3) 
Scholarship Assistance. A list of these distributions is found in Exhibit 10. 
Scholarship Assistance consisted of grantees who provided scholarships or 
tuition assistance for participation in workshops or conferences. Generally, 
these workshops were ones that the grantee itself was sponsoring, but the 
focus of the Endowment assistance was on the financial aid to participants. 
Workshop Assistance consisted of grantees who produced workshops and/or con- 
ferences to train artists and arts organizations in management techniques. 
Technical Assistance, by default, is everything but workshops and scholarships: 
in effect, this ranges from inoividual ized consul ting -type agreements to 
serving as tne central location for regional or ethnic interests. While these 
grantees may do training, it is not their principal focus, which is to develop 
new programs for incorporating the arts into community activities and to 
provide and promote opportunities for artists and arts organizations to 
develop and refine their skills. 



III-l 



TECHNICAL 
ASSISTANCE 



YEARS 
FUNDED 



WORKSHOP 
ASSISTANCE 



YEARS 
FUNDED 



SCHOLARSHIP 
ASSISTANCE 



YEARS 
FUNDED 



AHA 



ARTS 



ACUCAA 



Graduate School of 3 

Community Dvlpt. 



Cal ifornia Confedera- 4 
ation of the Arts 



Gol den Gate 
University 



Chinese-American 
Arts Council 



1 



Community Art 
Resources 



Sangamon State 
University 



New Performance 
Gal 1 ery 



CHAC 



Mass. Cul tural 
Al 1 i an ce 



3 Cultural Alliance of 4 

Greater Washington 



Haleakala, Inc. 



1 



Publ ishing Center for 4 
Cultural Resources 



Western States Arts 1 
Foundation 

Southern Art Founda- 2 
tion 



Performing Arts 
Services 



Greater Philadel phia 3 
Cul tural All iance 



Opportunity Resources 4 St. Paul -Ramsey 

for the Arts United Arts Fund 



SPACE 



1 



Technical Assistance: 10 grantees; 22 grant years. Workshop Assistance: 
grantees; 25 grant years. Scholarship Assistance: 3 grantees; 9 grant years 
GRAND TOTAL: 22 grantees; 56 grant years 

Exhibit 10: Grantee Distribution by Project Type and Years Funaed 



1 1 1-2 



Almost two-thirds (64%) of the grantees were funded for multiple years. The 
average years funded for each of tne major outputs of tne five-year period 
examined was: 

Technical Assistance 2. 3 years 

workshop Assistance 2.7 years 

Scholarship Assistance 3.0 years 

Total for Objective 2.5 years. 

B. GRANTEE CHARACTERISTICS 

1 . Project Staffing 

In terms of project staffing patterns, the Scholarship Assistance grantees 
required far less personnel time, but also had a much greater professional/ 
support ratio. These tables are presented in Exhibit 11. Scholarship Assis- 
tance comprised short-term projects, usually only extending for several wee<s 
immediately preceding the workshop. In addition, the professional /support 
ratio is slightly skewed oy the addition of the instructors for the workshops 
themselves, especially for Sangamon State University. In that case, tne 
workshop would last two weeks, but there would be approximately a dozen 
instructors, each working one or two days. 

Personnel Data 

Subobjectives AVERAGE PERSON YEARS PRO FESSIONAL/SUPPORT RATIO 

TECHNICAL ASSISTANCE 
WORKSHOP ASSISTANCE 
SCHOLARSHIP ASSISTANCE 



1 .98 


1 .5 


1.99 


2.3 


: o.4i 


4.3 


Exhibit 11: Personnel Data 





The composition of the personnel varies from year to year with no discern io I e 
patterns in terms of a sheer numerical one. That is, the increases and de- 
creases in staffing do not form a trend as the grantee progresses. None of 



1 1 1-3 



the grantees reported volunteer workers, and most had either a mixture of full- 
time and part-time personnel or else solely part-time personnel. For most 
grantees it would seem that the particular project funded by the Endowment was 
only part of the organization's activities. In some cases, especially for 
newer grantees, however, this was not so, as will be demonstrated in the next 
section on budget matters. 

2. Organizational Budget 

The overall organizational budgets reveal some interesting information about 
the relative size of these organizations at the time of their application. 
Exhibit 12 provides a table of all organizational budgets, from the perspective 
of the changes by eacn grantee. That is, what is the range of the organiza- 
tional budget for the first year of funding and also for any year where that 
funding may have changed. In this way, the 22 grantees examined produced 31 
cases for this exhibit. 

Organizational Budget 

Subobjectives LT$100K $100-249K 3250-4 99K 3500-749K GT3750K 

TECHNICAL ASSISTANCE 
WORKSHOP ASSISTANCE 
SCHOLARSHIP ASSISTANCE 

Exhibit 12: Organizational Budget Distribution (Pre-Grant) 

All of the grantees in Technical Assistance who changed the range of their 
organizational budgets increased them. Workshops and Scholarships were less 
directed in their funding changes, but tended to return to the same level. 
That is, they may have either increased or decreased their funding, but 
returned to the original range of funding the following year. 

Scholarship Assistance was more often attempted by larger grantee organiza- 
tions. Both Technical Assistance and Worksnops spanned the entire range of 
organizational budgets. 



1 1 1-4 



2 


5 


5 





1 


3 


5 


1 





4 








1 


1 


3 



Almost all (90%) of the grantees were involved solely wi tn service aelivery. 
Those that also included aspects of planning tended to drop those and focus 
more strictly on service delivery as the grant period progressed. 

3. Project Percentage of Organizational budget 

Tne project budget as a percentage of the organizational budget reinforces tne 
trend for scnolarship assistance to be a function of a larger organization. 
The average percentage and the specific range of these are presented in 
Exhibit 13. 

Project Percent 

Subobjectives AVERAGE PERCENT RANGE 

TECHNICAL ASSISTANCE 
WORKSHOP ASSISTANCE 
SCHOLARSHIP ASSISTANCE 

Exhibit 13: Percentage of the Organizational Budget Represented by th e 

Project and the Range of that Percentage 

A particularly interesting point emerges from an examination of tne ranges of 
the project budget percentages, in particular the presence of 100 and 210.8 as 
the upper values for the ranges. In some cases tne project was the organiza- 
tion: there was a complete overlap. In other cases, it is likely tnat the 
definition of organizational budget on the application may have been misinter- 
preted. 

4. Project Budget 

Project budgets were examined in the same manner as the organizational budgets, 
focusing on the changes that appeared. Exhibit 14 contains the overall at- 
tribution of these project budgets. 



53.3 


1 .9 - 10U 


60.5 


0.5 - 210,8 


7.1 


0.2 - 17.7 



II 1-5 



7 


1 


4 


3 


4 


5 


3 


1 


2 


1 









Project buagets 
Suboojectives LT350K 350-15UK $151-250K GT32bOK 



TECHNICAL ASSISTANCE 
WORKSHOP ASSISTANCE 
SCHOLARSHIP ASSISTANCE 



Exhibit 14: Distribution of Project Budgets 

Workshops and Scholarships tend to cost less than Technical Assistance pro- 
jects. This may be a function of their narrower scope, i.e., the project is 
for a specific event or series of events with strict controls established over 
length, duration, and possible numbers of participants. This would not occur 
for Technical Assistance, which describes particular services offered (or to 
be offered) that are more general. 

5. Years in Service 

Organizations funded by the Endowment for this objective had been in existence 
for an average of seven years in 1985. The actual averages and ranges are 
described in Exhibit 15. 

Years in Service 

Subobjectives AVERAGE RANGE 

TECHNICAL ASSISTANCE 6.8 1-14 

WORKSHOP ASSISTANCE 6.8 3-12 

SCHOLARSHIP ASSISTANCE 7.3 6-9 

Exhibit 15: Average Years in Service and Range 

A cross-tabulation of the project budget by the years in service producea Ex- 
hibit 16, and reveals tnat there is a certain tendency for newer projects to 
cost less than more established ones, although almost half of all of the pro- 



1 1 1-6 



jects examined still cost less than $50,000. Scholarship Assistance tended to 
be less costly over time tnan the other two types: this is probaoly aue to 
the longevity of the programs and the brief duration of the service. 

6. Geographic Locations 

There were two variables dealing with geograpny. One referred to the area 
served (or targeted to be served) by the grantee and the other referred to the 
location of the grantee itself. Most of the grantees served a constituency in 
their immediate vicinity and also a more widespread one outside of that area. 
In many cases, national coverage may entail activities with minimum personal 
contact, such as mailings (newsletters, etc.). Thirty -two percent of the 
grantees are listed as serving more than one area. Most grantees were either 
regional or national in their primary focus: this tallies very closely with 

the Endowment's goals for the award of the grant. 

« 

Project Budget 



Years in 














Service 


LT350K 


$51-150K 


3151-250K 


GT3250K 


TOTAL 




0-5 


4 

80% 
44.4% 


1 
20% 
50% 




0% 
0% 




0% 

0% 


5 

100% 
29.4% 


NO. 
ROWPCT. 
COLPCT. 


6-10 


3 

42.9% 
33.3% 


1 

14.3% 
50% 


3 
42.9% 
75% 




0% 

0% 


7 
100% 
41.2% 


NO. 
ROWPCT. 
COLPCT. 


11-15 


2 
40% 
22.2% 




0% 

0% 


1 
20% 
25% 


2 

40% 
100% 


5 
100% 
29.4% 


NO. 
ROWPCT. 
COLPCT. 


TOTAL 


9 

52.9% 

100% 


2 

11 .8% 
100% 


4 

23.5% 
100% 


2 

11 .8% 
100% 


17 
100% 
100% 


NO. 
ROWPCT. 
COLPCT. 



MISSING CASES = 5 

Average years in service by project budget: 



LT350K 
351-150K 
S151-250K 
GT3250K 



6.4 

5.5 

9.0 

12.0 



Exhibit 16 



Project Buagets By Years in Service 
1 1 1-7 



A surprising number of the grantees are from outsiae the New York City area, 
altnough that location is still tne dominant one for Technical Assistance 
activities. This is presented in Exhibit 17. 

Grantee Location 

Suoobjectives NYC MAJOR METROPOLITAN OTHER 

TECHNICAL ASSISTANCE 6 3 1 

WORKSHOP ASSISTANCE 5 4 

SCHOLARSHIP ASSISTANCE 2 1 

TOTAL 6 10 6 

Exhibit 17: Grantee Location 

7. Types of Products 

The variety of activities tnat comprise management assistance is wery wide. 
There are certain anticipated concentrations: Scholarship Assistance, for 
example, is involved primarily with scholarship funds and workshops (for which 
those scnolarships are offered). Exhibit 18 presents the basic distribution 
of the various types of activities in rank order by subobjective. Each grant 
file was examined separately, and lists multiple products. 

Of particular note is the range and variety of the activities funded for all 
of tnese subobjectives. All of the subobjectives pertain to some aspect of 
interdisciplinary arts management training, but the range of activities used 
to interpret that mandate is astonishing. These activities represent varying 
degrees of success: some activities, listed as one-time, may have been eitner 
failures, special events, or simply refer to the unique year funded. No judg- 
ment was made, therefore, aoout the relative levels of success attached to any 
of these si tuations. 

8. Case Studies 

Wnile most of these grantees used formal methods of training, such as work- 
shops, many also used less formal ones. Particular examples from technical 

II 1-8 





TECHNICAL 


WORKSHOP 


SCHOLARSHIP 




PRODUCT 


ASSISTANCE 


ASSISTANCE 


ASSISTANCE 


TOTA 


Work shop/ seminar 


14 


22 


8 


44 


Newsletter 


10 


lb 


1 


11 


Consul tancies 


11 


7 





18 


Conference 


6 


9 





15 


Scholarship Fund 








9 


9 


Publications 


6 


3 





9 


Placement Services 


5 








5 


Directory 


3 


2 





5 


Production Assistance 


4 








4 


Promotional Activities 


4 








4 


Requests for Info. 





' ' 4 





4 


Ticket Place 





4 





4 


Manual 


3 





u 


3 


Internship Program 


2 


1 





3 


Festival 


2 








2 


Networks 


1 


1 





2 


Association 


1 










Cal endar 


1 










Certificate Program 








1 




Computer Hookup 


1 










Insurance Plan 


1 










Needs Assessment 





• 

1 







Plan for Eco. Dvlpt. 


1 











Exhibit 18: Frequency Distribution of Types of Products 



111-9 



assistance grantees include the use of festivals as a means of fostering the 
development of conmuni ty-based organizations, as the Association of Hispanic 
Arts or tne Chinese-American Art Council did. There were three programs which 
provided a wide range of services that are particularly interesting, the 
Graduate School for Community Development, the Massachusetts Cultural Alliance 
and the Publishing Center for Cultural Resources. The Graduate School 
sponsored an extremely holistic approach to community development, estaDlishing 
ing an association for economic development, assemoling a kiosk of events 
(which was dismantled in the evening and reassenblea in the morning), present- 
ing theatrical events and running a gallery, as well as developing a manual 
for these activities, coordinating a neighborhood festival, and supervising 
workshops and otner promotional activities. The Massachusetts Cultural 
Alliance ran meetings and produced publications, but also provided extremely 
directed assistance to the artists and arts organizations in its community 
(primarily Boston). These particular services included maintaining employment 
listings, providing health insurance and coordinating two programs with the 
business community to develop matching grants and in-kind contributions . 
Access to various media and a computer was also arranged for the arts constit- 
uencies. The organization also directed some of its activities inward, with a 
highly successful fundraising ball. The last organization examined was the 
Publishing Center for Cultural Resources. This is particularly interesting 
because it proviaea assistance along the entire gamut of publishing, including 
services in planning, producing, printing, and finally distributing different 
types of documents. Most of the other grantees focused on several or one 
unique aspects of technical assistance: this is the only one that follows 
such a clearly marked linear sequence. 

Grantees prOviaing workshop assistance tended to address those concerns more 
specifically -- there were fewer instances of activities not directly related 
to the maintenance or development of workshops. There were three organiza- 
tions, however, that did provide a diverse range of services, the Cultural 
Alliance of Greater Wasnington, the Greater Philadelphia Cultural Alliance, 
and the St. Paul -Ramsey United Arts Fund. The Washington group also provioed 
a health insurance policy, and had developed a successful ticket sales booth. 
both the Pniladelphia and St. Paul organizations provided extremely diverse 
services to their constituents. The Greater Philadelphia Cultural Alliance 



111-10 



provided the full spectrum of workshop and workshop-related activities: it was 
also inaugurating a ticket sales operation and had sponsored a city-wiae puuli- 
ci ty campaign. This campaign had consistea of a series of posters displayed 
at bus shelters and the development of a series of publicity guiaes for organi- 
zations. The St. Paul organization provided internships, ran a special pro- 
jects and advocacy program, conducted needs assessments of many of tne local 
arts organizations, maintained a toll-free phone line for information and 
advice, and provided information on tax and legal issues. At the same time, 
it also conducted workshops and produced a variety of publications about its 
services and to provide its constituents with updates on situations in the 
Twin Cities area . 

The principal distinguishing characteristics of the three grantees in Scholar- 
ship Assistance were tne use of academic incentives and the type of documenta- 
tion produced by the workshops. Continuing Education Units (CEUs) are given 
for workshops sponsored by ACUCAA, and Golden Gate University offers botn a 
certificate and a master's program. While Sangamon State does not offer cred- 
its for their workshops, they do provide extensive documentation of the course 
contents. 

9. Subject Areas 

The subjects for which assistance was rendered are almost as broad as the 
types of products and are shown in Exhibit 19. It should be stressed tnat the 
grantees were not limited to one subject area, or one product. The scope of 
the project was limited by only two factors: (1) the money available; and (2) 
the grantees' creativity. 





TECHNICAL 


WORKSHOP 


SCHOLARSHIP 




SUBJECT AREAS 


ASSISTANCE 


ASSISTANCE 


ASSISTANCE 


TOTAL 


Audience Development 


4 


8 


3 


15 


Financial Mgt. 


3 


b 


3 


12 


Info. Dissemination 


4 


4 


1 


9 


Other 


6 


2 


1 


9 


Organizational Mgt. 


3 


4 


1 


8 


Conference Mgt. 


2 


1 


2 


5 


Tour Mgt. 


2 


3 





5 


Planning 


1 
Exhibit 19: 


2 

Subject Areas 





3 



111-11 



If one assumes that the activities offered most frequently are also the ones 
most in demand, then one can conclude tnat audience development and financial 
management are the skills most in demand. These drt perhaps the most general 
of the subject areas adaressed, and the ones most likely to attract the widest 
numbers of participants, as it becomes imperative ratner rapidly for any 
organization to know now to manage money, as well as how to attract and retain 
participants. 

10. Numbers Served 

The actual numbers served by the various grantees varied widely. Missing, 
however, was the most common value, so it is difficult to accurately assess 
the numbers and types of people and/ or organizations reached by this variety 
of activities. Some grantees focused on reaching other organizations, while 
others focusea on individuals (either artists or the general public) and some 
attracted both. In this respect, a low number may refer to organizations and 
could actually represent the maximum which could be served by the grantee 
organization. Another factor which affects these numbers is tne type of 
product the grantee produced: a newsletter could be distributed to thousands 
of people, wnile scholarship assistance would only be offered to a very few. 

Of the ten grantees in Technical Assistance, half were missing values of the 
numbers served for at least one year. Of the numbers reneining, the scope of 
service varied from six people through 35,136, with a mean of 3,060. Even 
repeat grantees reporting for multiple years shifted drastically each year, 
although most of these figures referred primarily to individuals, rather than 
organizations. 

Of the nine grantees in workshop Assistance, three were missing values. All 
of tne values refer to both organizations and indiviauals: the attendance 
figures reflect the focus of the workshops themselves, which could be designea 
to attract members of organizations, individuals, or both. Some of tnese 
grantees also produced newsletters. The range varied from 53 through 4&6.940, 
with a mean of 32,277. 

Two of the three grantees in Scholarship Assistance provided data, which 
referred to the numbers of organizations served. The range was from 29 

111-12 



total amount requested, but a grantee that requests $20,000 for a project witn 
a proven track recora and/or is known by tne Panel is more 1 ikely to be 
reduced proportionately less than a grantee requesting $10,000 which also 
lacks those characteristics. The average age of the grantee organizations is 
approximately equal at the time of first funding, so that ranking does not 
appear to be a function of the relative institutionalization of the umbrella 
organization. 

D - Funding Patterns . More than 70% of the repeat grantees have their NEA 
funding decreased over the course of time. This is due to several factors, 
which include (1) the reduction in Inter-Arts funds and thus corresponding cuts 
for all grantees, (2) changes in the prioritization of grantees and thus reduc- 
tion in their funds, and/ or (3) monies referred to as start-up or graduation 
grants. It would appear that the Panel recognizes and is wary of the tendency 
of grantees to ask for the same amount (if not more) from the Endowment each 
year, and is attempting, through reductions in funding, to wean grantees away 
from a dependency on Endowment monies. 

Of tne ten grantees whose funding decreased over time, the average reduction 
was fifty percent over the length of the grant, although this ranged from 35 
to 75%. An examination of the NEA percentage of the total project budget 
reveals that the reduced funding usually corresponds with overall reductions 
in the project budget, as there were only four cases (out of a possible ten) 
where the decrease in Endowment funding corresponded to a decrease in the 
percentage of the Endowment's contribution. This would mean that additional 
funding was provided from otner sources to offset the decrease in tne 
Endowment's funding and that the overall size of the project budget did not 
decrease. In six of the cases the percentage of Endowment funding (despite 
the reduction, in real terms, of the funds) actually increased, indicating a 
rather drastic reduction in the project budgets. 

C. SUMMARY 

As there was little overlap in either the scope or the types of activities 
performed, it would be difficult to pinpoint exactly the types of activities 
that comprise management assistance and create a general typology. None of 



1 1 1-14 



the grantees replicated their activities in otner areas, and similar grantees 
(for example, CHAC, ARTS, and AHA, all of which serve predominately Hispanic 
constituencies) differentiate themselves primarily oy the geographic areas 
served tnan Dy tne services. The relative merits of the services may be open 
to considerable debate, and it is clear that Panel members and Endowment 
personnel have their own ranking system as to what constitutes a good or Dad 
program. 

To briefly summarize the results of tnis section, it was found that: 

o Most (64%) of the grantees were funded for more than one year. 
Most of these also had their Endowment funding decreased over time. 

o Most grantees tended to increase tneir organizational budgets over 
the course of the period studied. This, together with the reduc- 
tion in Endowment funding, may indicate that these organizations 
have launched themselves into sustainabil ity . 

o Almost all (90%) of the grantees were involved solely with service 
delivery (as opposed to planning activities). This means that the 
grantees are actually providing services, rather tnan assisting in 
the development of these services. 

o Technical Assistance projects were the most costly for this objec- 
tive, probably due to factors of scale of their activities. This 
type of project tends to include the greatest number of activities, 
which, although inter- related, require diverse levels of management 
and financial resources. 

o Scholarship Assistance was more often attempted by larger organiza- 
tions tnan either Workshop or Technical Assistance. This is 
probably due to the relatively high cost ana short duration of 
this activity. 

o Newer projects cost less than more established ones. These 
projects may still take a higher percentage of the organizational 
budget, but most grantees tend to start out on a modest scale. 

111-15 



o One-time grantees are funded at lower levels than repeat grantees 
This is probably due to the effect of the reputation of the more 
established grantees on Panel decisions. 



1 1 1-16 



IV. ANALYSIS OF THE BUSINESS DEVELOPMENT OBJECTIVE 

A. INTRODUCTION 

OBJECTIVE B : Determine the extent to which projects provide business prac- 
tices/services that cut costs or increase quality. 

Business practices/ services were presumed to exist for one of three reasons: 
(1 ) because the service is offered at below market costs (such as projects 
that buy wholesale art supplies and then distribute them at cost), (2) because 
the service is offered at greater accessibility to members of the arts commun- 
ity (such as pooling funds and purchasing a copier to serve several small or- 
ganizations), and/ or (3) because tne service has an arts focus (such as offer- 
ing bookkeeping support to artists). Increased quality and cost cutting have 
been defined through tnese rationales. 

« 
There were nine grants studied in this objective which were received by four 
grantees. Only one of these was a one-time grantee. 

The user benefits which defined this objective are fairly diverse but are dis- 
tinctly interrelated. All of the grantees encompassed the three rationales, 
largely because these grantees provided particular services. For example, Bay 
Area Lawyers trained volunteers to help artists and arts organizations with 
legal issues. This legal advice is very definitely provided at below market 
costs, which provides much greater accessibility for artists and arts organi- 
zations, and, at the same time, is a service directed to that population. 
Similar situations arise with the other three grantees, either because they 
are providing a particular service or because the scope of their activities is 
sufficiently wide to extend over more than one rationale. 

B. GRANTEE CHARACTERISTICS 

1 . Management Trai ts 

The management variables for this objective are of some interest, as these 
grantees are designed to provide business support to the arts. One assumes 
that the grantee organization will therefore be more business-like. 

IV-1 



The average nunt>er of person-years devoted to each project by these grantees 
was 6.7, with a range of 0.9 to 14.6. The professional/support ratio was 
2.6. These constitute fairly labor-intensive activities, as the average staff 
member worked at least four months of the year on this one project. All of 
the personnel are paid, and there is an even split between full-time, part- 
time, and mixed allocations (that is, both full-time and part-time). 

2. Organizational Buagets 

The organizational budgets of these grantees ran the gamut from under $100,000 
through more than 3750,000. While all of the repeat grantees had changes in 
their organizational budgets, only one of these decreased and tne other two 
increased. Projects stuaied accounted for an average of 29 percent of the 
organizational buagets, with a range from 2.3 to 68.9 percent. 

3. Project Budgets , ■ 

The project budgets varied yery little from year to year. Only one changed 
radically, decreasing by almost $100,000. The majority of the projects had 
budgets greater than $250,000, with an average of $215,000. 

The distribution of project budgets for all the grants is presented in 
Exhibit 21. 



Buaget 
LT350K 



S50-150K 



S151-250K 



GT3250K 



NO. 3 

PCT. 33.3% 



1 
11 .U 



b 
55 .6 % 



Exhibit 21: Distribution of Project Budgets 



4. Years of Service 



Data on the number of years that the grantee has been providing the service 
was missing in four of the nine cases. Only two grantees reported: these had 

IV-2 



an average of 12.4 years and a range of 2 through 16 years. Because so few 
cases responded, the years the organization itself had been in operation were 
used to examine the distribution of project budget by the years in service. 
The organizational lifespan had only two missing values (one grantee), with an 
average of 12.5 and a range from 7 to 16. 

The project buaget by years of organization is presented in Exhibit 22. The 
ranges of the project budget are presented in thousands of dollars, with the 
Years in Operation serving to define the x-axis. 





Project 


Budget 










ars 


LT350K 


$50-150K 


S151-250K 


GT3250K 


TOTAL 


0-4 



















5-8 


1 













1 


9-12 


2 







. 





2 


13-16 







1 





3 


4 



TOTAL 3 10 3 7 

MISSING CASES: 2 

Exhibit 22: Project Budget by Age of Organization 

Most of these grantees are part of older organizations. Those grantees whicn 
were funded at the lowest level were Bay Area Lawyers for the Arts and Film in 
tne Cities. These two also had the highest project percentages of Endowment 
funding, which indicates that these may represent relatively newer ventures 
for these grantees. 

5. Geographic Locations 

The geographic distribution of these grants is dependent on the grantee loca- 
tion and was yery stable. That is, the grantees tended to provide services to 
the areas near to their own locations. Most grantees provioea services (as 



IV-3 



opposed to planning them), and none extended their areas of service. The 
location of tne grantees themselves was somewhat biased in favor of Mew York 
City. 

6. Types of Products 

The types of products developea by the grantees are presented in rank order in 
Exhibit 23. The grantees often provided more than one service, but stressed 
either assistance in implementing some aspect of business or assistance in 
learning how to implement some aspect of business. 



PRODUCT 



FREQUENCY 



Fiscal Agent 
Technical Assistance 
Education Programs 

(workshops, seminars, 
conferences) 
Publications 
Equipment Access 
Production Companies 
Training (interns & 

vol unteers) 
Artists' Project 
Exhibitions 
Library 
Presentations 
Program Development 



5 

5 
5 



4 
2 
2 
2 



7. Case Studies 



Exhibit 23: Types of Products 



All of the four grantees in this objective provided a different range of activ- 
ities. Bay Area Lawyers for the Arts provided relatively formal assistance 
through presentations and training, as well as the information necessary to 



IV-4 



puDlicize and/ or document these presentations. Performing Art Services pro- 
vided similar training, but also managed a pro auction company, geared 
principally to providing access to avant-garde groups. Film in the Cities 
conducted a wide range of service programs, as well as more formal educational 
ones and also provided access to a number of facilities, such as darkrooms. 
Tne Cultural Council Foundation stressed the provision of services principally 
to groups in operation less than eighteen months, and created two tiers of 
assistance: basic and second level, which corresponded roughly to the stages 
of organizational oevelopment. 

8. Promotion Techniques 

The means that most of the grantees use to promote their own organizations and 
its services is through the provision of specific contractual services. 

9. Provision of Services 

Exhibit 24 presents the distributions of tne services provided to different 
types of people and organizations. Grantees can provide services to multiple 
types of people and/ or organizations, as demonstrated in the numbers served. 

PEOPLE 

Art 
Artists Administrators Others 

5 2 

ORGANIZATIONS 

Art Producing/ 

Service Presenting IHE Gov't. Consulting 

1 9 2 2 

Exhibit 24: Service Directed Toward People ana Organizations 

Most of the services are directed toward individual artists or arts organiza- 
tions (such as ballet companies or theatre groups). While some of these ser- 
vices are also provided to organizations that are more oriented to arts ser- 



IV-5 



vice and training, by far the majority of the services provided are to recipi- 
ents which match the category's purpose yery closely. 

In terms of the numbers of peopl e/ organizations actually served by these var- 
ied services, this variable is considerably better reported than other objec- 
tives, as only two of the grantees did not provide this information. The 
average number served was 1,884, with a range from 69-12,178. If one discounts 
that high outlier number, the average becomes 169. Of these grantees, two 
respona solely to organizations and two to mixed organizations and individuals. 
Grantees serving organizations tend to have fewer numbers served: the 
services to organizations, however, will usually be either more extensive or 
will involve more repetitions (such as a training course, offered on a number 
of occasions to members of the organization). 

10. Funding Patterns 

The average Endowment contribution to the projects budgets was 14.3 percent, 
with a range from 2.3 percent through 44.2 percent. As presented in Exhibit 
25, it is evident that Endowment funding has been relatively stable and also 
that the grantees are adept at increasing their own budgets, as the percentage 
of Endowment funding tends to decrease despite the stability of that funding. 



Grantee 



NEA CONTRIBUTION 



PERCENTAGE OF TOTAL PROJECT BUDGET 



BAY AREA LAWYERS 



5000 



PERFORMING 
ART SERVICES 


15000 
7500 


FILM IN THE 
CITIES 


10000 
10000 


CULTURAL COUNCIL 
FOUNDATION 


25000 
30000 
18000 
25000 



11.3 

4.9 
2.6 

44.2 
43.6 

7.0 
7.4 
5.0 
2.4 



Exhibit 25: Endowment Funding 



IV-6 



C. SUMMARY 

To oriefly summarize, it was found for this objective that: 

o Grantees serving organizations serve fewer than those serving 
individuals, but usually provide multiple and/ or more complex 
services to those organizations. 

o Projects accounted for almost a third of the organizational budgets 
on the average. This may indicate that these projects are 
relatively new initiatives, or that these initiatives comprise the 
principal activities of the grantee organization. 

o Most of the grantees are part of older organizations, and activi- 
ties funded by the Endowment tend to represent newer initiatives 
for most, but not all , of these organizations. 

o The least costly projects had the highest percentages of Endowment 
funding. In several cases, these were new initiatives which had 
not yet developed more varied sources of funding. There is also a 
factor of scale at work: the same dollar amount of a grant will 
account for proportionately more of a project's budget if that is 
at a lower level. The fact that the Panel would recommend funding 
at such a relatively high level, given the aforementioned financial 
constraints, is indicative of their perceptions of these projects 
as particularly useful and appropriate to the purposes of this 
Category. 

o The Endowment funding was fairly constant in terms of dollar 
amounts, which, given the financial constraints of the past few 
years, seems to indicate a certain confidence in these organiza- 
tions in general and of the projects in particular. 

o Grantees in this objective are adept at increasing their own 
budgets, as the percentage of Endowment funding tends to decrease. 
This is an important point in terms of the likelihood of the pro- 



IV-7 



jects to continue should Endowment funding cease. It also 
indicates that tne grantee organizations are meeting perceived 
needs in their targeted areas of service. 



1V-8 



V. ANALYSIS OF THE VOLUNTEER DEVELOPMENT OBJECTIVE 



A. INTRODUCTION 

OBJECTIVE C : Determine the extent to which projects develop new sources of 
volunteer support for the arts. 

This objective is slightly different in focus than the others examined, as the 
grantees do not provide a service, but rather provide support directly to 
other organizations. The grantees do not train or provide facilities for the 
organizations themselves to perform these particular activities, but instead 
actively recruit people wno will carry out specific tasks for the arts 
organizations. This therefore contributes only indirectly to the increased 
institutional capacities of the arts organizations: by providing free 
services, financial resources can be reallocated to other areas, and by 
providing a human resource, the potential exists for the eventual institution- 
alization by trie arts organization of that resource person and the various 
practices developed by that individual. 

The approach to this objective was altered to match this shift in emphasis. 
Information was collected about both the volunteers and the beneficiary 
organizations. In particular, these included: 

o Types of volunteers to be recruited; 

o Identification of sources of volunteers; 

o Strategies used to recruit volunteers; 

o Identification of tne primary beneficiary of service; 

o Actions the beneficiary organization has used to institutionalize 
activities for the recruitment of volunteers. 



V-l 



The resulting data analysis addresses the additional questions of whether the 
organizations recruit volunteers for their own needs or for the needs of other 
organizations, and whether or not the projects have established the necessary 
elements for volunteer recruitments such as the types of volunteers to be 
found, placement procedures and the strategies used to recruit volunteers. 

B. GRANTEE CHARACTERISTICS 

There are five grantees under this objective, which were awarded a total of 
fifteen grants. Three of these five grantees extended for the entire period 
studied (four fiscal years). 

1 . Management Trai ts 

There was a fairly high ratio of support to professional staff, with one 
support person for e\jery 2.4 professionals. While all of the staff were paid, 
there is a wide variety of distributed time. Two of the five grantees used 
only part-time nelp, two used a mixture of part-time and full-time, and there 
was only one which used solely full-time labor. 

There was an average of 2.3 person years expended per grant, although this 
ranged from 3.1 (Volunteer Lawyers for the Arts) to 2.0 (Penjerdel Institute). 

2. Organizational Budget 

Of the five grantees, three changed their organizational budgets substantially. 
Two increased, and the remaining one first decreased and then increased. Of 
all five, the one-time grantee was the most expensive. Despite the movement 
from range to range, there is a tendency for these organizations to be fairly 
large. This is presented in Exhibit 26. 

Organizational Budget 
Timeframe LT$100K $200-249K 3250-499K $500-749K GT3750K 

ALL YEARS 2 4 5 3 1 

LAST YEAR ONLY 10 2 1 1 

Exhibit 26: Organizational Budget 

V-2 



3. Project Budget as Percentage of Organizational Budget 

These projects tend to represent fairly substantial proportions of the organi- 
zational budgets. The grants tend to remain at a stable percent of the organ- 
izational budget, as well. The only anomaly was produced by the one-time 
grantee, with a percentage of 1.9%. The average by tne last year for all the 
grantees was 25.7%, and, correcting for that one-time grantee, this increases 
to 33.6%. The overall average (with three missing values) is 29.9%. 

4. Project Budget 

Contrary to the changes in the organizational budgets, the project budgets 
remained fairly stable. Only one grantee changed, increasing in its second 
year. The one-time grantee, which was the most expensive in its organiza- 
tional budget, was one of the least costly for its project budget. The pro- 
ject budget tends to increase over time, as demonstrated by the average dif- 
ferential. The average cost for all fifteen grantees was $89,800 (rounded to 
the nearest hundred) but was $97,000 (rounded to the nearest hundred) for the 
last years of all of the grantees. Eighty percent of the grantees fell in the 
$5Q-150K range by their last year funded. 

5. Number of Years the Organization Has Provided This Service 

The average number of years of providing service for all the grantees is 9.2. 
While the one-time grantee was in operation for three years, the average for 
the repeat grantees was 20.75. These are older, established organizations, 
and this is reinforced by the stable percentage of the project budget in an 
organizational sense. All of the these grantees focused on service delivery 
for the entire period under review. 

The project budget by the years of service shows the predominance of the $50- 
150,000 range in funding, irrespective of the years in service. 

6. Geo graphic Locations 

Of the five grantees, only one changed its target area, expanding from multi- 
state to national over the course of several consecutive grants. Most of the 

V-3 



grants in this objective are either national or local in scope, and most of 
the grantees are located in New York City. Exhibit 27 presents the distribu- 
tion of these two variables, and includes the change noted above, so tnat the 
five grantees produce a total of six cases. 





Target 


Area 










Grantee 














Location 


LOCAL 


STATE 


MULTI-STATE 


NATL. 


INTL. 


TOTAL 


NYC 








1 


3 





4 


MAJOR METROPOLITAN 


1 














1 


OTHER 


1 














1 


TOTAL 


2 





1 


3 





6 



Exhibit 27: Grantee Location by Target Area 

Fully half of these grantees are based in New York City and have a national 
impact. 

7. Vol unteers 

There are three variables specific to this objective which examine the types 
and sources of volunteers used. These variables are: sources of volunteers, 
types of volunteers, and recruitment strategies. Each of these is examined 
separately and then tabulated with another variable. All of these variables 
could be multiple: grantees were not limited to a single recruitment 
strategy, nor a unique source for volunteers, nor a single type of recruit. 
The last grant year examined was used in this analysis for all of these 
variables. Most {83%) of the volunteers were found in private industry, and 
were recruited to be specialists (S5%) through a combination of direct contact 
and advertising. 

Most of the grantees remained constant in their choices for these three vari- 
ables for every year. Exhibits 28-30 present the cross-tabulations derived 
from these variables, and provide further reinforcement for the types of 
combinations used most frequently by the grantees. These analyses again 
represent possible multiple choices and are drawn solely from the last grant 
year examined. 

V-4 



Types of 


Sources of Volunteers 








Vol unteers 


PRIVATE CLEARING OTHER 


ED. 


GENERAL 






INDUSTRY HOUSE 


REFERRALS 


INSTITUTION 


PUBLIC 


OTHER 


BOARD MEMBERS 


1 
















U 


SPECIALISTS 


5 










1 








GENERALISTS 


3 



















SPECIAL POP. 



















u 


OTHERS 













1 





u 


TOTAL 


9 










1 








Exhib 


it 28 


: Types 


of 


Vol unteers i)y 2 


Sources of Volunteers 




Sources of 


Recruitment Strategy 








Vol unteers 








DIRECT 












REFERRAL 


CONTACT 


ADVERTISING 


OTHER 


TOTAL 


PRIVATE INDUSTRY 




1 




4 


4 





9 


CLEARINGHOUSE 





















OTHER REFERRALS 





















ED. INSTITUTION 









1 


1 





2 


GENERAL PUBLIC 





















OTHER 





















TOTAL 




1 




5 


5 





11 


Exhib i 


t 29: 


Sources of Volunteers by 


Recruitment Strategy 




Types of 


Recruitment 


Strategy 








Vol unteers 








DIRECT 








- 




REFERRAL 




CONTACT 


ADVERTISING 


OTHER 


TOTAL 


BOARD MEMBERS 




1 













1 


SPECIALISTS 




1 




4 


4 





9 


GENERALISTS 









3 


3 





6 


SPECIAL POPULATION 



















OTHERS 





















TOTAL 




2 




7 


7 





16 


Exhib 


it 30 


: Ty pes 


of 


Vol unteers by 


Recruitment Strategy 





V-5 



It is clear from these tables that the most common techniques are to recruit 
specialists from private industry, either through direct contact or through 
advertising. These volunteers are then trained by the grantee and matched 
with organizations or people requesting/requiring those skills. The grantee 
is the primary agent institutionalizing the volunteers and is responsible for 
both the initial identification and matching processes, and also for the 
monitoring and supervision of the volunteers in the respective beneficiary 
groups. The grantee organization may take some combination of tne actions 
1 isted on Exhibi t 31 . 



ACTION 



FREQUENCY 



PERCENTAGE 



Training 

Eval uation Pol icies 

Publ i cations 

Seminars 

Workshops 

Conference 

Monthly Reports 

Reception 

Staff and Art Group Analysis 

Staff Monitoring 

Total 

(6 values missing) 



5 
4 
4 
3 
2 



23 



21.7 

17.4 

17.4 

13.0 

8.7 

4.3 

4.3 

4.3 

4.3 

4.3 

100.0 



Exhibit 31: Actions to Institutionalize Volunteers 

A significant number of grantees did not record this variaole. Most of the 
grantees concentrated on training the volunteers, not in their respective 
disciplines, but rather in how to phrase particular concepts and applications 
in terms the art group would understand, such as comparing a management 
strategy to an orchestra (that is, the conductor is equivalent to a project 
manager, etc.). Many of the grantees had particular strategies to evaluate 
the volunteer performance, usually by efforts on the part of staff members of 
the grantee organization, although occasionally these might be by the 
volunteers themselves. 



V-6 



It is clear from these tables that the most common techniques are to recruit 
specialists from private industry, either through direct contact or through 
advertising. These volunteers are then trained by the grantee and matched 
with organizations or people requesting/requiring those skills. The grantee 
is the primary agent institutionalizing the volunteers and is responsible for 
both the initial identification and matching processes, and also for the 
monitoring and supervision of the volunteers in the respective beneficiary 
groups. The grantee organization may take some combination of tne actions 
1 isted on Exhibi t 31 . 



ACTION 



FREQUENCY 


PERCENTAGE 


5 


21.7 


4 


17.4 


4 


17.4 


3 


13.0 


2 


8.7 




4.3 




4.3 




4.3 




4.3 




4.3 


23 


100.0 



Training 

Eval uation Pol icies 

Publ i cations 

Seminars 

Workshops 

Conference 

Monthly Reports 

Reception 

Staff and Art Group Analysis 

Staff Monitoring 

Total 

(6 values missing) 



Exhibit 31: Actions to Institutionalize Volunteers 

A significant number of grantees did not record this variaole. Most of the 
grantees concentrated on training the volunteers, not in their respective 
disciplines, but rather in how to phrase particular concepts and applications 
in terms the art group would understand, such as comparing a management 
strategy to an orchestra (that is, the conductor is equivalent to a project 
manager, etc.). Many of the grantees had particular strategies to evaluate 
the volunteer performance, usually by efforts on the part of staff members of 
the grantee organization, although occasionally these might be by the 
volunteers themselves. 



Y-6 



8. Case Studies 

Two of trie five grantees had begun replicating their services in other 
cities. These two were tne Volunteer Urban Consulting Group and tne Arts and 
Business Council. The former was extending its organization's services to 
other cities through the development of a manual and the establishment of botn 
basic volunteer and board candioates projects, as well as a mailing of tne or- 
ganization's brochure. The Arts and business Council, on the other hand, ex- 
tended its expertise to other organizations interested in starting volunteer 
programs in their cities, rather than simply increasing the size of the Arts 
and Business Council. In point of fact, the Cornish Institute was one of the 
first offsprings of this process, and tne strategies which had made the Arts 
and Business Council successful (such as the extensive staff monitoring of 
volunteers and the initial assessment of the arts group's needs) were trans- 
planted to a number of locations. This was done usually with the assistance 
of a staff member of the Arts and Business Council, but the new organization 
was treated as an adjunct organization, rather than as an extension of the 
Arts and Business Council. 

9. Numbers Served 

All of the grantees served a mixed population of individuals and arts organiza- 
tions. These figures varied considerably from year to year, and were reported 
in three or four instances. The averages for individuals were greater than 
those for organizations alone, continuing the trend begun in Objectives A and 
B. The evidence for varied service figures is clear from a comparison of the 
total numbers served for all years (815) with the total numbers served for the 
last year alone (374), a reduction by slightly more than a factor of two. 

10. NEA Contribution 

The NEA funding levels for this objective do not follow a consistent pattern. 
The percentages of total project cost and the actual dollar amounts are pre- 
sented in Exhibit 32. 



V-7 



GRANTEE 


PERCENTAGE 


DOLLAR AMOUNT 


Vol unteer 


11 .6 


12500 


Urban 


12.1 


15000 


Consul ting 


12.4 


13500 


Group 


13.2 


18500 


Vol unteer 


30.2 


15000 


Lawyers 


24.8 


1500U 


for the 


18.9 


15000 


Arts 


16.1 


15000 


Penjerdel 


7.7 


5000 


Foundation 


4.2 


3000 



AVERAGE 



14875 



15000 



Cornish Insti tute 



11.4 



5000 



4000 
5000 



Arts and 
Business 
Council 



15.2 
20.8 
22.7 
14.5 



12500 
20000 
20000 
20000 



18125 



TOTAL AVG. (ALL YEARS) 
TOTAL AVG. (LAST YEAR) 



15.0 
11.9 



13667 
12300 



Exhibit 32: NEA Percentages and Dollar Contributions 

If the Cornish Institute and Penjerdel Foundation are treated as single year 
grantees, (as Penjerdel was only funded for two years and that funding stopped 
before the end of the period studied) a comparision between single and mul- 
tiple grantees can be made. The average first year funding levels are 35,000 
for these single grantees and $13,300 for the multiple ones, a difference t)y a 
factor of almost three. 



V-8 



C. SUMMARY 

To briefly summarize this section, it was found that for the Volunteer 
Development objective: 

o The project budgets were fairly stable, although Endowment funding 
tends to decrease. This indicates the grantees' ability to find 
additional sources of funding. 

o One-time grantees are funded at lower levels than repeat ones. 
This is probaDly due, for this objective, to the much greater age 
of the grantee organizations and their previously established 
reputations. 

o Grants tended to represent substantial proportions of the 

organizational budget, despite changes in that budget. The 

projects funded by the Endowment comprised, in most cases, the 
principal purpose for the organization as a whole. 

o Volunteers are recruited from private industry as specialists 
through either direct contact or advertising. This appears to be 
the principal expenditure of the project, the actual recruiting 
strategies. 

o Grantee organizations usually combine several strategies to 
institutionalize the volunteer activities. In most cases these 
involve techniques that either the staff or the volunteer 
him/herself uses, such as evaluation forms. 



V-9 



VI. ANALYSIS OF TK FINANCIAL DEVELOPMENT OBJECTIVE 



A. INTRODUCTION 

OBJECTIVE D : Determine the extent to which projects assist in the development 
of financial support for tne arts. 

Projects funaed under this objective possess particular resources geared to 
raising revenues or facilitating fund-raising activities. The variables used 
to assess these resources are: 

o Type of revenue to be targe ted/ gen era ted 
o Type of sources for revenue generation 
o Strategies for revenue generation. 

Projects may be developing financial support for their own organization, or 
for another. The project focus may thus be internally or externally directed, 
and two additional variables were designed to assess this, (1) classification 
of projects by primary beneficiary, and (2) institutionalization of fund- 
raising capacity by user organizations. These particular indicators provide 
for analysis of the specific factors which differentiate this objective from 
the others. Together with the more generalized management and institutional 
variables, they respond to the issue of whether or not an organization is 
structured to conduct fund-raising activities for itself or for other 
organizations. 

B. GRANTEE CHARACTERISTICS 

There are ten grantees in this objective, which were awarded a total of nine- 
teen grants. Exhibit 33 presents the range of types of financial development 
activities funded. 



VI-1 



PROJECT NUMBER 

Loan Program 5 

Voucher Program 4 

Cul tural Voucher 3 

Ticket Central 2 

Materials Voucher 2 

Info. Dissemination 2 

Residencies 1 

Exhibit 33: Project Types 

Most of the variables examined in the following sections refer solely to the 
last year funded, pre-grant data, although in some instances, multiple 
responses were possible and these are so indicated. The last year funded was 
chosen because it represented not only the most current information about the 
grantee, but also the most indicative data about institutional stability. 
Pre-grant information was used because it occurred with more frequency and 
reliability than post-grant data. 

1 . Management Traits 

Due to the extent of missing data and the unreliability of the figures 
reported, a professional to support staff ratio is not provided. Six of the 
ten grantees were missing support personnel data, and two were also missing 
professional staff information. The existing data does show, however, that 
almost all grantees changed their staffing plans, with an apparent shift to 
greater reliance on non-professional personnel. 

All of the personnel were paid, with a fairly even distribution of time. 
There were two cases each for full-time, part-time, and mixed use: four 
grantees were missing data for this variable. The average person years used 
for the objective as a whole was 1.14. Factoring out one-time and repeat 
grantees produces these two averages: 0.83 (one-time) and 1.25 (repeat). 



VI-2 



2. Organizational Budget 

The organizational budgets were evenly divided between the low range of cost 
and the high. This is presented in Exhibit 34. Three of the nine reported 
cases changed their range (i.e., changed by an amount significant enough to 
put their cost into another budgetary range); two decreased it and one 
increased. 

LT3100K $100-24yK $250-499K 3500-749K GT3750K 



Missing: 1 

Exhibit 34: Organizational Budget 

3. Project Percentage of Organizational Budget 

The projects were, on average, fourteen percent of the organization's total 
budget, with a range from 1-36 percent. One-time grantee projects tend to 
comprise a higher percentage of the organizational costs (18 percent as 
opposed to 12 percent). This may be due to the newness of the venture, or it 
may simply represent a less diversified organization. 

4. Project Budget 

Most of the projects were at the lowest range of cost (70 percent in the less 
than 350,000 range). The remainder were at the next highest level, providing 
an overview of the objective as one of the least costly. These project 
budgets were also fairly stable: only three changed, two decreasing and one 
increasing. The nature of services addressed by these grantees was split 
40/60 between planning and service delivery. 



VI-3 



5. Years Providing Service 

The average years in service for grantees was 6.6 years, with a range from 
1-13 years. Forty percent of the grantees did not report on this variable. A 
comparison with the average years in existence reveals a slightly higher 
average (8.7 years), but a fairly similar range (from 2-15 years). 

6. Geographic Locations 

The two variables in this analysis were target area and grantee location. 
Grantees were likely to change their target area over time, and all who did 
increased the area covered. Grantees were located either in New York City or 
another major metropolitan area, with the highest number of cases in New York 
City for statewide activities ana in the major metropolitan ones for local 
activities. This is presented in Exhibit 35. 

Target Area 



Grantee 
Location 


LOCAL 
1 


STATE 


REGIONAL 


NAT'L 


INT' L 


TOTA 


NYC 


3 





1 





5 


METRO 


3 





1 


1 





5 


OTHER 




















TOTAL 


4 


3 


1 


2 





10 



Exhibit 35: Target Area by Grantee Location 

The service provided by the grantees was directed primarily at producing/ 

presenting organizations or other types of organizations (except arts service). 

Many of the grantees provided services to more than one type of organization, 
and most did so on a recurring basis. 

7 . Revenues 

The following three variables pertain to the specific purpose of this objec- 
tive, that is, the grantees' abilities at fund-raising and financial develop- 



VI-4 



ment. These variables are: (1) types of revenues, (2) revenue sources, and 
(3) revenue strategy. All of these had multiple responses possible and in- 
deed, probable. Many of these variables shifted from one year to the next, in 
most cases expanding the number of types, sources, and/ or strategies. 

Host grantees concentrated on contributions, rather than earned income as a 
type of revenue. Repeat grantees focused their efforts on new sources of 
revenue, and concentrated less on current or previous ones. Thirty percent of 
the cases for revenue strategy were missing and thirty percent changed their 
tactics to include more approaches. Of tne reported strategies, submission of 
applications for funding was used in nearly 60 percent of the cases. 

8. Numbers Served 

At least forty percent of the cases for both service requests and actually 
served were missing, which severely inhibits the analysis of this variable. 
Of even greater concern is the manifest instability of the responses received, 
ranging from 240-20,000 people, and 10-100 organizations. It is unlikelv that 
20,000 people could have even received mailings from the grantees, given the 
size of the project budgets. This generally refers to the general public 
which could benefit from ticket voucher programs. Sixty percent of the 
grantees include themselves as a beneficiary, whereas 40 percent of the 
grantees are providing financial development services for other organizations. 

9. Repeat vs. One-Time Grantee s 

Of the ten grantees in this objective, three were funded for one year alone. 
Repeat grantees tended to be part of larger organizations, but the basic 
project budgets for both repeat and one-time grantees were approximately the 
same, differing only in the project percentage of the organizational budget. 

The percentage of Endowment funding for both repeat and one-time grantees was 
almost identical, with one-time grantees getting 28.3 percent of their project 
budgets, and repeat grantees 28.4 percent. 



VI-5 



10. Funding Patterns 

The average grant from the Endowment was just over $10,000 for all of the 
grantees for the first year of funding, and increased to $10,340 for all of the 
years funded. Most (70 percent) of the grantees varied funding levels 
considerably. The averages and ranges of Endowment funding are presented in 
Exhibit 3b for one-time and repeat grantees (first year of funding). 

NEA Funding 



Years 








Funaed 


AVERAGE 




RANGE 


ONE-TIME 


$10170 




35000-13500 


REPEAT 


$10700 




33000-25000 


TOTAL 


$10550 




33000-25000 




Exhibit 36: 


NEA Fu 


n di n g 



Repeat grantees were funded at slightly higher levels initially and, while 
this amount tended to decrease over time, it also increased absolutely 20 
percent. 

C. SUMMARY 

To briefly summarize the results of this objective, it was found that: 

o All of the grantees were based either in New York City or in other 
major metropolitan areas. This is probably due to the presence of 
smaller presenting/performing organizations which would benefit 
from collective voucher-type efforts. 

o Projects represent an average of only 14 percent of the organiza- 
tional buagets. One-time grantees have a slightly higher average 
(18 percent). This would indicate that these activities do not 
comprise the principal ones for these grantees, but are instead 
used to provide additional support. 



VI-6 



o All projects are in tne lowest ranges of project budget: this 
objective is one of the least costly, perhaps because most of tne 
financial development activities require less costly personnel to 
operate them. 

o Repeat grantees were funded at higher levels initially, and this 
tended to represent higner proportions of the project budget. 
This is something of an anomaly, as the percentage funded by the 
Endowment tended to decrease over time for the other objectives 
examined thus far. 



VI-7 



VII. ANALYSIS OF THE INFORMATION DISSEMINATION OBJECTIVE 



A. INTRODUCTION 

OBJECTIVE E: Determine the extent to which projects disseminate information 
about the arts to artists, art administrators, ana other arts constituencies. 

The objective as a whole has several characteristics which distinguish it from 
the other objectives. These indicators address factors particular to 
dissemination projects and include: 

o Identification of a target audience 

o Selection of function areas to be addressed 

o Strategies/mechanisms for disseminating information 

o The dissemination product format. 

In essence, these indicators answer tne questions of who needs the information, 
what information is needed, and how this can be provided. 

As with the objective on management skills, there were several major approach- 
es contained in this objective. These approaches differed consistently, and 
indicated that separate treatment would highlight these distinctions, rather 
than a composite analysis which might disguise or alter the essential nature 
of the processes of information dissemination. 

B. GRANTEE CHARACTERISTICS 

There were three major divisions in this objective, comprising Clearinghouses, 
Publications, and Other. Clearinghouses are distinguished by their service as 
depositories of specialized information. While materials may be published by 
these centers, it is secondary to their primary function as sources of informa- 
tion. Publications, on the other hand, include those organizations for which 
the primary purpose is the production and distribution of various types of 
documents. The Other category emerged from the examination of the grantees 
who did not correspond to either of the above functions and include, for 



VII- 1 



example, the Japanese-American Cultural and Community Center and the New York 
City Public Library. Funding was provided to the former to develop a working 
group for those particular interests, while funding to the Library was 
provided to enable it to extend the hours of operation into the evening for 
the Performing Arts section. 

These grantees and their years funded are presented as Exhibit 37. There are 
a total of 35 grants, distributed over seventeen grantees. 



CLEARINGHOUSE 


YEARS 
FUNDED 


PUBLICATIONS 


YEARS 

FUNDED 


OTHER 


YEARS 

FUNDED 


Center for Occupational 
Hazards 


4 


Anerican Council 
for the Arts 


5 


Japanese- 
American 

Cultural & 




Center for Arts Informa- 
tion 


4 


Hospital Audiences 
Incorporated 


» 
1 


Communi ty 
Center 


1 


Arts International 

ATLATL 

National Council on the 
Aging 


1 
1 

4 


Artspace Projects 

Metropolitan/ 
Regional Arts 
Council 


1 
1 


NYC Public 
Library 


1 


National Guil d of Com- 
munity Schools of 
the Arts 


2 










Theatre Development 
Fund 


4 










National Association 
of Artists' Organi- 
zations 


2 











Foundation for the Com- 
munity of Artists 

Institute of Alaskan 
Native Arts 

Museums Collaborative 



TOTAL: 11 grantees; 25 grants (Clearinghouse) 
4 grantees; 8 grants (Publications) 
2 grantees; 2 grants (Other) 

Exhibit 37: Grantee Distribution and Years of Funding 



VI 1-2 



Data, unless otherwise noted, are drawn from a grantee's final year funded by 
the Endowment, and from the pre-grant information. The final year data was 
used as most representative of the grantee's current financial status, while 
pre-grant information was used due to its completeness and availability. 

Almost all of the grantees focused on information dissemination alone (71%). 
The remainder both collected and disseminated information, and were found only 
in Clearinghouses. 

1 . Management Traits 

All of these grantees used paid personnel, although the three different group- 
ings differ with regards to the type and amount of personnel used. Clearing- 
houses have a 2:1 ratio of professional to support staff and are more likely 
to use a mixture of full-time and part-time help, for an average of 1.98 
person-years. Publications have a higher professional to support ratio (3.2) 
and are more likely to use part-time help for an average of 1.6 person years. 
Other has the lowest professional to support ratio (0.6), but also the highest 
average of person years (3.46), achieving this through either part-time or 
mixed allocations of personnel. 

2. Organizational Budget 

The distribution of the organizational budgets is presented in Exhibit 38. 
There is a tendency for organizations supporting clearinghouses to be smaller 
than those producing publications or other activities. 

Organizational Budget 
Subobjectives LTS100K S100-249K 3250-499K 3500-749K GT375QK TOTAL 



CLEARINGHOUSE* 


2 


3 


2 


1 


2 


10 


PUBLICATIONS 


1 





1 





2 


4 


OTHER 














2 


2 


TOTAL 


3 


3 


3 


1 


6 


16 



* one missing value 



Exhibit 3b: Organizational Budget Distribution 

VI 1-3 



3. Project Percentage of Organizational Budge t 

This information was missing in a total of six cases, which rather severely 
affects a population of only seventeen. The figures derived from this 
analysis are therefore considerably more tentative than for other objectives 
with better representations of the data. Clearinghouses had the highest 
average percentage (34.7%), with a range from 0.3-100. If the 100 is factored 
out, that percentage average reduces dramatically, to 10.3%. Publications had 
an average percentage of 15.1, ranging from 2.6 through 31.1. This is a much 
narrower range of funding, and indicates that the project funded by the 
Endowment comprises a smaller portion of the organizations' budgets. The last 
group (Other) had two grantees, one of which was missing this variable. Tne 
percentage for Other was 0.6%. 

4. Project Budget 

The distribution of project budgets is presented in Exhibit 39: most cf these 
projects fall into the least costly range. Further examination of all project 
budgets demonstrates that projects are fairly stable in their budgets, with a 
slight tendency to decrease. 



Subobjectives 


Project Budgets 
LT350K $50- 

5 


-150K 


$151 


-250K 


GT3250K 


TOTAL 


CLEARINGHOUSE 


5 




1 







11 


PUBLICATIONS 


3 









1 







4 


OTHER 







1 




1 







2 


TOTAL 


8 




6 




3 







17 




Exhibit 39: 


Distribution 


of Pro 


ject 


Budgets 






5. Years Provi 


ding Service 






• 











Neither years in service nor years in existence was well represented for Pub- 
lications and Other, with those variables missing in 25-100 percent of the 
cases. Of the Clearinghouse values, the average lengtn of service was 6.8 



VI 1-4 



years, with a range from 2-12 years. The average age of the grantee organiza- 
tions was 13.8 years, with a range from 2-47 years. In one of these cases, 
the project was manifestly the sole endeavor of the organization, as the 
project percentage of organizational budget was 100%. Most of the newer 
organizations had much higher percentages of the organizational budgets than 
more established ones. 

The distribution for Clearinghouses by years of service and project budgets is 
presented in Exhibit 40. Most of the projects were located in the lowest 
ranges. 



Years 

0-5 

6-10 
11-15 
TOTAL 
Missing: 6 

Exhibit 40: Years Providing Service by Project budget for Clearinghouses 
6. Geographic Locations 

The majority (53%) of the grantees were national in scope, with the remainder 
scattered fairly evenly across the other target areas. A surprising number of 
these grantees were international in scope (24%). Almost half of the grantees 
were also based in New York City, with the remainder divided between major 
metropolitan areas and other locations. These were very stable, as were the 
target areas, and did not change. A cross-tabulation of these two variables 
is presented in Exhibit 41, and indicates that the largest single concentra- 
tion of grantees was based in New York City and served a national population. 



Project 
LTS50K 


Budget 

S50-150K 


$151-250K 


GT3250K 


TOTAL 


3 


2 








5 


2 


2 


1 





5 





1 





& 


1 


5 


5 


1 





11 



VII-5 



Grantee 


Target 


Area 












Location 


LOCAL 




STATE 


REGIONAL 


NATL. 


INTL. 


TOTAL 


NEW YORK CITY 










1 


b 


2 


8 


MAJOR METRO. 













3 


1 


4 


OTHER 


2 




1 


H 


1 


1 


5 


TOTAL 


2 




1 


1 


9 


4 


17 



Exhibit 41: Grantee Location by Target Area 
7. Information Dissemination 

This section examines those factors which differentiate this objective from 
the others. It is composed of the following variables: 

o Target Populations and Service 
o Nature of Information 
o Dissemination Strategies. 

These are examined separately for each subobjective and then combined. Most 
of the variables could have multiple responses, rather than a single one, as 
for a budgetary range. Thus, numbers greater than the population of 17 
grantees reflect these multiple possibilities. 

a. Target Populations and Service 

These variables were broken into three principal categories, as a way of 
examining the different groups which could be targeted and served. These 
categories are artists, actninistrators, and organizations. While each of 
these has separate and specific needs for information, it seems clear that the 
various organizations disseminating information .concentrated primarily on the 
action of dissemination rather than on a specific target category, as all of 
the three groups of grantees examined addressed the needs of all of these 



VI 1-6 



Subobjectives 
Target 

Populations Clearinghouse Publications Other Total 

ARTIS T 

Singl e Disci pi ine 1 

Mul ti disci pi i nary 10 

Special Population 3 

Total 14 



ADMINISTRATORS 

Singl e Disci pi ine 1 

Mul ti disci pi i nary 9 

Special Population 2 

Total 12 



1 


1 


3 


3 


1 


14 





1 


4 


4 


3 


21 



1 


1 


3 


3 


1 


13 





1 


3 


4 


3 


19 



ORGANIZATIONS 

Producing/Presenting 7 

Arts Service 6 

Other 3 

General Public 4 

Total 20 



GRAND TOTAL 46 17 9 72 



4 


2 


13 


3 





9 


1 





4 


1 


1 


6 


9 


3 


32 



Exhibit 42: Target Populations 



VI 1-7 



groups, without a significant differentiation in the types of strategies 
developed to match the organizational neeas. These varied target groups are 
presented in Exhibit 42. Most grantees focused on mul ti -disci pi inary popula- 
tions, generally ones which produce or present art. Most tended toward 
serving organizations more than individual artists or administrators. 

Of the grantees, more tnan 70 percent were missing the information relating to 
the numbers served among all these populations. This makes it unprofitable to 
pursue any further analysis with this variable. 

b. Nature of Information 

The nature of the information disseminated is divided fairly evenly between 
information that is organization-specific, project-specific, or specialized in 
some respect. Clearinghouses provide more information about their 
organizations, as well as the other two principal categories. This 
distribution is presented in Exhibit 43. 

Nature of Information 
Subobjectives ORG. PROJECT GENERAL SPECIAL 

SPECIFIC SPECIFIC ARTS INFORMATION OTHER TOTAL 



CLEARINGHOUSE 


9 




8 




4 


7 





26 


PUBLICATIONS 


2 




4 







3 


1 


10 


OTHER 












1 


2 





3 


TOTAL 


11 




12 




5 


12 


1 


41 






Exhibi 


it 43: 


Nature 


of 


Information 


« 




c. Dissemination 


Strategies 













The grantees all used the same basic strategies to disseminate information, 
irrespective of whether that information was directed to an individual or an 
organization. The most common strategies were mailings and meetings, followed 
by personal services and resources centers. This is presented in Exhibit 44, 
and borne out by the varied products developed, as grantees tended to use 
either brochures or personal contact to disseminate information. 



VII-8 



Strategic 


?s 


Sub objectives 
CLEARINGHOUSE 


PUBLICATIONS 


OTHER 


TOTAL 


MAILINGS 


11 


3 





14 


MEETINGS 




6 


4 


1 


11 


PERSONAL 


SERVICES 


4 


2 


1 


7 


RESOURCE 


CENTER 


5 


1 


1 


7 


NETWORKS 




1 








1 


OTHER 







1 





1 


MEDIA 
















TOTAL 




27 


11 


3 


41 






Exhibit 44: Dissemination Strategies 







While most (56%) of the grantees used some combination of mailings and meet- 
ings to disseminate information, this was particularly pronounced for Clear- 
inghouses, as 73 percent did at least these two activities. 

8. Case Studies 

There were four grantees of special interest for this objective as a whole due 
to their range of activities. These were the Center for Occupational Hazards, 
the National Center for the Aging, the Theatre Development Fund, and Artspace. 

The Center for Occupational Hazards interpreted 'meetings' as consultancies, 
lectures and workshops. Their mailings were extensive, centering around the 
production and distribution of data sheets which referred to a particular 
hazard. In addition, they also responded to individual inquiries both by 
telephone and in-person. 

The National Center on the Aging sponsored similar basic activities, including 
an assortment of mailings and meeting strategies, but also provided more 
direct assistance in managing senior and model projects, as well as exhibit 
preparation. 



V1I-9 



Theatre Development Fund provided a somewhat narrower range of mailings/meet- 
ings, as they produced a brochure, held a conference, and maintained ongoing 
consultations. The services provided outside of these, however, were quite 
diverse. These included the operation of a ticket booth, a system of vouchers 
for particular cultural events, studies on service development and expansion, 
as well as the provision of sign interpreters for theatrical performances. 

Artspace stressed primarily tenant/1 anal ora negotiations in its individual 
consultancies, and, although this organization also conducted worksnops and 
conferences, and produced several publications, its primary distinguishing 
characteristic was its co-sponsorship of tne Lowertown Lofts Design Char- 
rette. This was a competition to design apartments which would combine liv- 
ing/working spaces, intended as the renovation of an older warehouse in the 
area. 

9. Funding Patterns 

The percentages of projects funded by Endowment monies show a marked differ- 
ence between one-time and repeat grantees, despite the relative stability of 
that funding. 

The overall averages and ranges were found for each group of grantees, together 
with those for the last year funded. These are presented in Exhibit 45. 

NEA Funding 
Subobjectives OVERALL AVERAGE RANGE LAST YEAR AVERAGE RANGE 



CLEARINGHOUSE 




22.6% 






5.8-53.1% 




21.7% 


5.8-48.1% 


PUBLICATIONS 




20.2% 






4.9-41.0% 




25.7% 


4.9-41.0% 


OTHER 




30. U 






17.2-42.9% 




30.1% 


17.2-42.9% 


TOTAL 




23.0% 






4.9-53.1% * 




23.6% 


4.9-48.1% 


Exhibi 


t 45: 


Percen 


tage 


of 


Total Project 


Budget 


Funded by 


NEA 



VII-10 



If this information is broken out by one-time and repeat grantees, the aver- 
ages tend to be higher for one-time grantees than for repeat ones: 26.1 to 
14.7. Grantees funded for a single year are more dependent on Endowment 
funding, even though the amounts actually awarded are less. This percentage 
is also borne out in the actual amounts granted to organizations for the first 
year of funding examined, although it is not as pronounced as for some of the 
other objectives. This is presented in Exhibit 46. 

Funding Patterns 



Subobjectives 


ONE-TIME 


GRANT 


REPEAT 


GRANT 




AVERAGE 


RANGES 


AVERAGE 


RANGES 


CLEARINGHOUSE 


$8500 


33000-25000 


316600 


34000-50000 


PUBLICATIONS 


36700 


35000-10000 


335000 


335000 


OTHER 


321000 


31200-30000 


— 


— 


TOTAL 


$10450 


33000-30000 


$18300 


34000-50000 




Exhib- 


it 46: Funding 


Patterns 





The average amount granted to first year grantees can be observed to aiffer 
depending on whether or not the grantee was then funded again. As with the 
management objective, there were no indications in the grantee file as to how 
the Panel arrived at these distinctions. 

C. SUMMARY 

To briefly summarize the results from this section, it was found that: 

o Most grantees concentrated on the primary means of dissemination 
rather than on specific target populations, focusing on the 
development of general strategies to disseminate information. It 
is likely, however, that those grantees which also did consultan- 
cies tailored their presentations to the needs of the audience. 
This is not explicitly stated, however, anywhere in the 
documentation. 



VII-11 



o Most organizations usea some combination of mailings and meetings 
to disseminate information, whether the principal focus was the 
Clearinghouse or the Publications subobjective. This is an 
extremely effective strategy for the dissemination of information, 
as it provides both general ana specific information, geared for 
either the public or special interests. 

o Average funding from the Endowment for one-time projects comprised 
a higher percentage of that project's budget than for repeat 
grantees. Endowment funding was more important to these one-time 
grantees, and their award indicates that these are brand-new 
initiatives, sponsored either by more established grantees or 
fledgling ones. It also indicates the importance of the Endowment 
funding as seed money at the start of these new activities. 

o The average amount awarded to the grantees was greater for repeat 
grantees than for one-time grantees. As for the other objectives, 
it would appear that the continued funding is based both on the 
accomplishments of the individual grantees and on Panel knowledge 
of their functioning. 



VI 1-12 



VIII. CONCLUSIONS AND RECOMMENDATIONS 



A. OVERVIEW 

This final section is divided into four parts, (1) Observations from the Popu- 
lation; (2) Population Characteristics and Distribution; (3) Information Util- 
ity; and (4) Recommendations. The first part provides a summary of the infor- 
mation in the grant files, the analyses performed, and how the grantees 
perceive the application/accountability processes at the Endowment. The sec- 
ond part contains the results of the statistical analyses conducted by indi- 
vidual objective and also by the grantees as a whole, and synthesizes those 
analyses into a coherent and comprehensive overview of the findings. The 
third part addresses the issue of what use the Endowment may find in these 
results and this report, as well as the more fundamental issue of what these 
results may actually represent. The fourth part makes recommendations to 
Inter-Arts about data collection and use, as well as to the Endowment as a 
whole on monitoring functions. 

B. OBSERVATIONS FROM THE POPULATION 

The synthesis of data used in this report is a result of thorough examinations 
of the Program's grant files for the last four years. Particular variables 
examined included budgetary information, scope and extent of services, project 
management issues, distribution of activities, overall impact of both Endowment 
funding and of the projects themselves, as well as an analysis of the funding 
cycle itself. The grantees contacted via telephone interviews searched back 
files for several days to locate some of the missing information. While not 
all of the searcnes were successful, there was an obvious effort to uncover 
information about the projects and organizations from far back in the gran- 
tee's institutional memories. Many of the grantees also had specific sugges- 
tions for the data collection process and requirements. 

1 . Information Requirements 

This evaluation ascertained that most of the post-grant information sought was 
missing from the files: the grantees indicated that, while they may have had 

VIII-1 



that information at one time, the Endowment aid not require the types of 
documents wnich might most usefully respond to those issues, nor were the 
various funding cycles concurrent. 

Most of the grantees produced annual reports, which contained the overall 
financial records for the past year. While some of these grantees included 
their reports in the grant files, these were not required and had no bearing 
on future funding. These reports could be a wery useful source of post-grant 
information. 

The problem with using annual reports, however, is based on the lack of stan- 
dardization of the fiscal years. Tne Endowment funds from July through June, 
yet the standard fiscal year is October through September. Determining amounts 
expended from several years ago required multiple calculations and assumptions, 
and those figures bore little relation to pre-grant data. In addition, yearly 
totals and other information were out of kilter with the funding cycles. 

What the grantees proposed, therefore, was a standardization of the fiscal 
years, and the inclusion of annual reports, either as part of the Financial 
Status Report, or to replace it. 

2. Budgetary Constraints and Concerns 

Another concern mentioned was the scope of the application and the overall 
content of the grant files, in particular the budgetary information. The 
budgets developed for the application bear only a limited resemblance to the 
actualities of the grantee's financial status for the extent of the grant 
period. These budgets are developed based on eighteen-month projections of 
contributions and earned incomes: but those contributions and incomes do not 
exist in a static or stable environment. Funding for the arts is largely a 
'catch as catch can' proposition, and the grantees are caught in several binds. 
One needs the Endowment funding to get other contributions, yet one needs those 
to get the Endowment funding. One has to request Endowment funding eighteen 
months in advance, but most of the other contributions are from organizations 
with different funding cycles, so other contributions are probably hypothetical 



VI1I-2 



projections. The Endowment is likely to award less than the amount requested: 
the grantees are also likely to receive less than their early projections of 
other contributions. So the whole project may be drastically reduced in scope 
from the application to the actual implementation. While this provides a 
rationale for the vagueness of the project descriptions in the application, it 
is also astonishing that as much as is accomplished could be in this framework 
of suppositions. 

C. POPULATION CHARACTERISTICS AND DISTRIBUTIONS 

1 . Overview 

The two principal comparisons made with the evaluation data are the differ- 
ences/similarities between the individual objectives of the Services to the 
Arts Category and the population of the grantees as a whole, and those between 
repeat and one-time grantees. 

There was extensive variation among all of the grantees, as well as intra- 
objective. The Services to tne Arts Category is extremely diverse: the 
analyses of these different activities are of some interest, in terms both of 
the types of activities and questions of project management. 

Summaries of the principal findings and of the grantees as a whole are pre- 
sented in the following paragraphs. These are grouped initially by the gran- 
tees as a whole, and are then broken out into individual objectives. 

2. Projects as a Function of the Grantee Organization 

Basically, projects represented either yery small percentages of the organiza- 
tion, or else fairly substantial percentages. Almost all of the organizations 
had other activities which accounted for more than half of their operating 
budgets. There was a slight tendency for older organizations to have higher 
budgets, and for projects studied to represent diminishing allocations over 
the course of time. In some of the cases studied, however, the project was 
the first, or among the first, activity attempted by the organization, as 
demonstrated by the equality of years in service and years in existence. The 



VIII-3 



Endowment grant accounts for proportionately larger shares of the funding for 
smaller projects: there is less variety in the numbers and amounts of exter- 
nal funding employed. Most of the grantees funded by the Endowment were unaer 
fifteen years old and were based in major metropolitan areas, although there 
is a tendency for grantees in New York City to focus their efforts on projects 
of national impact more so than those based in either major metropolitan 
locations or other areas. 

3. Variances in Objectives 

Management Assistance (Objective A) comprises technical assistance, workshops 
assistance, and scholarship assistance. While the activities of these three 
overlap to a certain degree, there is a pronounced tendency for scholarship 
assistance grantees to be part of larger organizations than either of the 
other two. Technical assistance grantees are located primarily in New York 
City and have larger project budgets than the other two, although their 
organizational budgets also tended to increase over time. Workshop assistance 
projects account for a larger percentage of the organizational budget, 
although there is a general tendency for newer projects, as well, to cost more 
than more established ones, probably due to initial start-up costs. Many of 
the projects demonstrated strong linkages between reductions in Endowment 
funding and corresponding reductions in the project budget. There is also a 
pronounced tendency for repeat grantees to be funded at higher levels (for the 
first year studied) than one-time grantees. 

Grantees offering business practices (Objective B), on the other hand, demon- 
strated a certain facility at increasing their own project budgets despite 
reductions in Endowment funding. There is also a parallel tendency for tnese 
grantees to have larger project budgets than those under other objectives. 

Volunteer development (Objective C) tends to be. a function of larger organiza- 
tions, with fairly stable project budgets. Most of these grantees focus on 
the recruitment of specialists from private industry, either through direct 
contact or through advertising. One of the particularly interesting activi- 
ties was the training provided to volunteers in terms of relating their abil - 
ities and involvement to an arts environment. 



VIII-4 



Financial support (Objective D) projects were funded at the lowest range of 
project budgets, but represented either very large organizations or else \/ery 
small ones. While one-time grantees accounted for a higher percentage of the 
organizational budgets, probably due to the newness of those efforts, there 
were not other significant differences between repeat and one-time grantees 
for financial support activities. Contributions from public and private 
sources accounted for their principal fund-raising endeavors, rather than 
earned income sources. 

Information Dissemination (Objective E) projects tended to do just that, al- 
though clearinghouses also collected information. Clearinghouses also tended 
to be operations of smaller organizations, although most of these projects 
were in the least costly budget range. Newer organizations have higher pro- 
ject percentages than older ones, and one-time grantees have a corresponding 
higher percentage of Endowment funding than repeat ones, although the actual 
dol lar amount is less. 

D. INFORMATION UTILITY 

The particular questions this section addresses are what types of information 
have been collected, what these can tell us, and what the Inter-Arts Program 
may be able to do with this information. 

Essentially, the types of information collected are a distillation, through a 
management filter, of the data collected by the Inter-Arts Program. Because 
the information was collected and analyzed by people outside of the Endowment, 
there is an unbiased appraisal of the operation of the projects, irrespective 
of the Program judgment about their qual ity. 

Most of the grantees, based solely on management concerns and by the types of 
information provided, probably would not be funded by anyone unfamiliar with 
the field. This is offset, to a certain degree, by Panel ist knowledge and the 
provision of site visit reports. The types of information requested are, more 
often tnan not, presented in a form which can best be described as nebulous. 
There are few internal checks and balances, and fewer attempts at monitoring 
the ongoing project. This is related to two factors, the first being the 



VIII-5 



tentative nature of the proposed project, and the second being the necessity 
for the required forms to be sufficiently broad to encompass as many of the 
differing activities as possible (which renders the forms generic to a fault). 

The information collected is a greatly condensed overview of some of the basic 
activities funded by the Inter-Arts Program over the past four years. While 
much of it is unstable for the purposes of advanced statistical analysis, it 
provides a useful descriptive matrix of some of the more general traits of the 
Category as a whole and of tne five objectives analyzed in particular. 

There are two principal uses to which the Inter-Arts Program could put this 
information. The first is the ongoing maintenance/updating of the data base 
to serve as a means of monitoring grantee performance. Category Specialists 
could check oack through the funding histories more readily and also prepare 
complete briefing profiles for Panelists' review. The second is its use as a 
tool for further research, addressing such questions as how the scope of 
activities changes over time for repeat grantees, or the relative likelihood 
of certain volunteer activities to 'take off in a particular city, or to 
drive the investigation of Endowment funaing impact. 

E. RECOMMENDATIONS 

The recommendations for the Inter-Arts Program are diviaed into two types: 
those relating to the information collection processes and those directed at 
the management level . 

The data collection procedures used by the Endowment for the application are 
adequate, and can be fairly detailed, depending on the grantee. The data 
collection procedures after the grant has been awarded need to be improved and 
the information requests could be refined to specify precisely what, and in 
what detail , needs to be addressed. 

1 . Data Collection 

o Alter the purpose statements in the application to specify the 
scope of the project alone. 



VI 1 1-6 



o Either add a section to the application for a description of the 
organization's purpose or else require the submission of the 
organization's informational brochure. 

o Standardize definitions of terms and fiscal years. 

o Include more specific questions on the monitoring procedures to be 
used in the application. (For example, How are the evaluations to 
be carried out? Who is responsible? What will be done with those 
eval uations?) 

o Change the time of submission of the Supplementary Information 
Sheet from with the application, to just after the grant award is 
made. This will permit the grantees to make more realistic assess- 
ments of project scope based on their available funding. 

o Have the grantees resubmit an application form at the ending of 
the grant period. This provides the Endowment with a directly 
comparable measure of project accomplishment. 

o Strengthen the requirements of the FDR to include specific project 
accompl isnments, not merely a superficial retelling of what was 
done, but rather how it was accomplished and concrete examples of 
who benefited from those services. 

o Request that copies of Annual Reports and Audits be submitted with 
the FDR. 

o Specific questions could be used as part of the review criteria, 
which would provide the grantees with more structured direction 
for completing the application forms, and at the same time, pro- 
vide the Panel with equivalent measures. 

2. Project Management 

The actions taken by the Program to monitor the grantees' performance reveal 
some interesting facts, which could be altered to the benefit of the Endowment. 

VIII-7 



o The data are not comparable throughout the project cycle. Infor- 
mation received on the application is not addressed again, for 
example, nor are the same requirements made for post-grant infor- 
mation as for pre-grant. 

o There is no institutional mechanism to maintain any project infor- 
mation in a readily accessible manner. Either it is contained in 
file cabinets or boxes, or it is solely in the head of the respon- 
sible specialist. While there is some overlap in those two 
sources, it is scarcely complete. 

o Site visits are used intermittently and primarily to determine if 
funding should be awarded again. 

Specific alterations to the comparability of the data could be addressed 
through judicial additions to and deletions of existing instruments. 

The institutionalization of project information poses a particular problem, as 
it seems evident that much of that data is not in a written form. It is in- 
stead based on personal contact and the steady accumulation over years of 
knowledge about the principals working for the organization and the concomitant 
increase in information about that organization from others in the field. 
While the automation of information will be of assistance in monitoring project 
performance and easier access to project data of past and ongoing efforts, the 
inclusion of that qualitative information might be incorporated through a 
series of annotations throughout the project file. The initial outlay of time 
and effort would, however, be quite extensive, but the updating would not be 
as laoor-intensive and would provide for greater access to information about 
the Inter-Arts Program as a whole, as well as grantee activities. 

The use of site-visits is an excellent evaluation tool, which has been greatly 
reduced in effectiveness due to its expense. Many of the site visits were 
conducted as part of a series performed by one individual in a fairly short 
timeframe. While the specialist often provided an indication as to the types 
of questions which needed to be addressed — thereby focusing the meetings 
between the visitor and the grantee staff -- more definition is needed as to 



VIII-8 



the purpose for the site visits. If they are to be used as an evaluative 
tool, they should be more rigorous. If they are to be used in a somewhat more 
qualitative manner as an indicator of the grantee's performance and compe- 
tence, then that should also be made more explicit. 

In general, the project monitoring responsibilities need to be at the same 
time clearer and more thorough. 

F. EVALUATION PROCESS 

This initial evaluation effort has been a lengthy and relatively expensive 
process, being both cost- and labor-intensive. Future evaluation efforts need 
not be, now that the background information has been collected and a database 
established. What Inter-Arts will need to do is to maintain and update these 
existing files, which present them with an accurate historical accounting of 
the individual grantees. The Program staff, at this point, can conduct the 
evaluations themselves with respect to those variables already established in 
the computer files, and can certainly add much more qualitative information 
about the actual functioning of these grant programs. The evaluation will 
shift from a strictly external one, with an outsider's perspective, to a less 
external one, with an insider's perspective. While the Endowment is still not 
part of the grantee organization itself (which would make the evaluation an 
internal one), it certainly has more overlap with the realities of those 
grantee organizations. In this way, the Program staff will be able to build 
upon this effort. 



VIII-9 



APPENDIX A 
GLOSSARY OF TERMS AND ABBREVIATIONS 



GLOSSARY OF TERMS AND ABBREVIATIONS 



The following definitions are provided to enable the non-statistical reader to 
understand the primary research terms used in this report, as well as provid- 
ing the statistical reader with the operational definitions used for this re- 
port. The definitions are presented in alphabetical order, and are followed 
by explanations of the principal abbreviations used. 

Definitions 

Average . The average is a mathematical term which describes an estimate of 
central tendency. It is determined by summing the values of all of the group 
and dividing that sum by the number of values. It is useful in determining 
the most likely value of a certain group of variables. An example would be 
the average cost of an artist's paintings: she sold five, at prices of $250, 
$175, 3300, 3238 and 3327. The total of these prices is $1290, divided by 
five, the number of paintings, for an average price of $258. 

Correlation . A correlation describes and defines the relationship Detween two 
groups. There are two principal types of relationships: direct and inverse. 
A direct correlation is one where the movement of each group is in the same 
direction, ie., as one increases, so does the other group. An inverse 
correlation is one where the movement is in opposing directions, i.e., as one 
group increases, the other decreases. 

Cross-tabulation . A cross-tabulation (or cross tab) is the graphic represen- 
tation of a correlation between two groups. Each group is presented along one 
of the axes of the graph, and the respective combinations of the two groups 
are usually broken out in a grid. 

Descriptive Statistics . This is the general name by which the most basic sta- 
tistics are known, as they serve principally to describe the particular attri- 
butes of groups. The most common descriptive statistics in this report are 
the mean, percentage, and range. 



A-l 



Frequency . Frequency refers to the number of times a particular thing or 
event occurs. 

Frequency Distribution . Frequency distribution refers to the pattern formed 
by the numbers of different things or events. It is formed by a series of 
frequencies, usually arranged by some type of scale. Almost all of the exhib- 
its in the report use this statistic. Another name for this is a distribution 
pattern. 

Mean . This is the formal statistical term for average. 

Missing . Often when an analysis is conducted, some values will not be pre- 
sent. The statistical term for such absences is missing. Normally, partic- 
ular statistics, such as frequencies and percentages are based on the avail- 
able number of cases. For example, if there are a total of twenty-five art 
galleries operated by a grantee, but only nineteen have reported the numbers 
served, then averages and other statistics are calculated based on those nine- 
teen cases. 

Mode . Mode refers to the most common frequency. It may also correspond with 
the mean, but does not have to. For example, there are twenty-five galleries. 
Of these, nine exhibit modern paintings, six exhibit works of new artists in 
mixed media, five exhibit watercolors, and the remainder an assortment of folk 
art and lithographs. The mode is nine, referring to those galleries that 
exhibi t modern paintings. 

Out! ier . In most distributions, the various frequencies will fall fairly 
closely around the mean. In some cases, however, the frequency may occur at 
some distance from both the mean and the bulk of the other frequencies, often 
occurring well away from those other frequencies. These cases are referred to 
as outliers. Such an occurrence usually happens to a ^ery small number of 
cases, but oecause of their distance from the rest of the values, these can 
distort the mean. For example, if that painter who sold five paintings at an 
average of $258 instead sold one of hers at $1500 (the outlier) rather than 
$300, her average price per painting would become $498. 



A-2 



Percent . Frequency refers to the actual number of time some value occurs. 
The percent makes it meaningful in the context of the rest of the values for 
that variable. Percent (or percentage) is determined by taking some value, 
multiplying that by 100, and then dividing by the total number of values. 

Range . This refers to the distance between the greatest and the least values 
for some variable. The original range of prices for that artist's paintings 
is from $175-3327. This may also be represented by the difference between the 
highest and lowest values, so that the range for these paintings is $152. 

Value . This refers to the actual number or amount for a particular case. 
Each objective studied has several analytical parts, which are called 
variables. The numeric responses by each grantee for those variables are the 
values. 

Variable . This is simply the statistical term for the group of values for one 
particular trait. 

Abbreviations 

There are four commonly used abbreviations presented on the Exhibits. These 
are: 

LT = 1 ess than 

GT = greater than 

Pet. = percent 

K = thousands of dollars. 



A- 3 



APPENDIX B 
GEOGRAPHIC LOCATION OF GRANTEE ORGANIZATIONS 



GEOGRAPHIC LOCATION OF GRANTEE ORGANIZATIONS 



The "Geographic Location of Grantee Organizations" classification category has 
been divided into three subcategories: 

o New York City Metropol itan Area 
o Major Metropolitan Centers 
o All Other Locations. 

These subcategories are defined below. 

New York City Metropolitan Area 

For purposes of this evaluation, the New York City Metropolitan area is de- 
fined as the five-borough area, Long Island, Westchester County and the suburbs 
of Connecticut and New Jersey. Over the past four grant cycles, 59 grants have 
been awarded to organizations with New York City metropolitan area addresses. 

Major Metropolitan Centers 

Major Metropolitan Centers include cities (including their suburbs) with popu- 
lations of 350,000 or greater according to the 1980 Decennial Census of the 
U.S. Over the past four grant cycles, 64 grants have been awarded to cities 
which fall into this subcategory. A listing of those cities follows: 

o Atlanta, GA 

o Boston/Cambridge, MA 

o Buffalo, NY 

o Denver, CO 

o Houston, TX 

o Kansas City, M0/KS 

o Los Angel es , CA 

o Minneapolis/St. Paul, MN 

o Milwaukee, WI 

o Philadelphia, PA 



B-l 



o Phoenix, AZ 
o San Diego, CA 
o San Francisco, CA 
o Seattle, WA 
o Washington, DC 

All Other Locations 

Grantee organizations based in cities with populations under 350,000 or organ- 
izations located in rural areas fall into this category. Fourteen grants 
which fall into this category have been awarded since 1980. These locations 
include: 

o Anchorage, AK 
o Concord, NH 
o Curmiington, MA 
o Madison, WI 
o Norran, OK 
o Raleigh, NC 
o Santa Fe, IW 
o Springfield, IL 
o Sweetbriar, WV 
o Teaneck, NJ 



B-2 



APPENDIX C 
DATA BASES FOR THE SERVICES TO THE ARTS CATEGORY 



DATA BASES FOR THE SERVICES TO THE ARTS CATEGORY 

TABLE OF CONTENTS 

Page 

1. Data Base for Objective Al : Technical Assistance C-l 

2. Data Base for Objective A2: Workshop Assistance C-ll 

3. Data Base for Objective A3: Scholarship Assistance C-21 

4. Data Base for Objective B: Business Development C-30 

5. Data Base for Objective C: Volunteer Development C-39 

6. Data Base for Objective D: Financial Development C-47 

7. Data Base for Objective El: Clearinghouses C-55 

8. Data Base for Objective E2: Publications C-64 

9. Data Base for Objective E3: Other Information Dissemination 

Activities C-73 



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